Financial Advisor Blog - Page 31 - Financial Advisor Transitions

Former Financial Advisor Barred by FINRA for Promissory Note Sales

July 29th, 2024

David Tall, a longtime financial advisor, has been barred from the securities industry. According to InvestmentNews, this decision follows his disc...

KKR to Acquire Janney Montgomery Scott from Penn Mutual

July 26th, 2024

KKR, a major private equity firm, announced its acquisition of Janney Montgomery Scott from The Penn Mutual Life Insurance Company.

Key Strategies for Top-Performing RIAs in 2024

July 25th, 2024

Top-performing Registered Investment Advisors (RIAs) employ diverse strategies to achieve superior performance, according to Charles Schwab's 2024 ...

FINRA Report Highlights Trends in Broker and Brokerage Firm Dynamics for...

July 24th, 2024

According to AdvisorHub, FINRA has released its annual "2024 Industry Snapshot," which reveals significant trends in the broker and brokerage firm ...

Words That Differentiate: Enhancing Your Message in Wealth Management

July 23rd, 2024

In a competitive market, how do you differentiate yourself? Effective communication often hinges on the words you choose.

Navigating Succession Planning and Monetization in Wealth Management

July 22nd, 2024

As reported by WealthManagement, succession planning remains a challenging area in wealth management, struggling to keep pace with the industry's g...

Terri Kallsen Elected as 2025 Chair-Elect CFP Board

July 19th, 2024

The Certified Financial Planner Board of Standards has elected Terri Kallsen as its 2025 board chair-elect.

Morgan Stanley Issues $8 Billion in Bonds Amid Strong Investor Demand

July 18th, 2024

Morgan Stanley has entered the US investment-grade market with an $8 billion bond sale, following its recent earnings report. As reported by Adviso...

Wells Fargo Advisors' Strategic Shift to Independent Advisors Pays Off

July 17th, 2024

Wells Fargo Advisors' focus on its independent broker and investment advisor channel is yielding positive results. The shift comes after years of s...

RIA Firm Appoints Director of Senior Living Planning to Enhance Services...

July 16th, 2024

A registered investment advisory firm, GYL Financial Synergies, has taken a novel approach to better serve its aging clients and their families.