Financial Advisor Blog - Page 31 - Financial Advisor Transitions

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Florida Advisor Team Joins Steward Partners from Merrill Lynch

June 5th, 2024

A Florida-based advisory team has left Merrill Lynch after nearly four decades to join Steward Partners' W-2 model.

Focus Financial Partners Integrates Five Business Lines into The Colony ...

June 4th, 2024

Focus Financial Partners Inc., a network of wealth management and related financial services firms, announced that five U.S.-based business lines w...

Missouri Regulators Warn Advisors

June 3rd, 2024

Missouri has issued a warning to financial advisors regarding the use of popular wealth technology platforms that access client assets in accounts ...

The Impact of Gen Z on Wealth Transfer and Family Businesses

May 31st, 2024

A new report by EY highlights the significant influence of Generation Z, despite their relatively small proportion of the U.S. population.

FINRA Clarifies Remote Work Flexibility Amidst Office Return Concerns

May 31st, 2024

The Financial Industry Regulatory Authority (FINRA) has clarified that it is not responsible for Wall Street's push to bring workers and advisors b...

J.P. Morgan Launches New Wealth Management Tier

May 29th, 2024

One year after acquiring the failed First Republic Bank, JPMorgan Chase has introduced a new tier in its affluent-consumer wealth management services.

FINRA Reinstates In-Person Inspections for Branch Offices, Sparking Comp...

May 28th, 2024

Compliance officers are grappling with the expiration of FINRA's pandemic-era waiver on in-person inspections for branch offices, which ends on May...

Financial Advisors Increasingly Recommend Digital Assets to Clients

May 17th, 2024

A recent survey reveals a significant uptick in financial advisors planning to recommend digital assets to their clients.

Merrill Lynch Overhauls Brokerage Compensation Plan for 2024

May 16th, 2024

Merrill Lynch, spurred by insights gathered during a comprehensive 25-city listening tour, has announced significant revisions to its brokerage com...

Regulators Proposes Stricter Anti-Money Laundering Rules for Investment ...

May 15th, 2024

The US Treasury Department and the Securities and Exchange Commission (SEC) have unveiled new regulations aimed at safeguarding investment funds fr...

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NASAA Approves Amendments to REIT Guidelines to Strengthen Investor Prot...

September 11th, 2025

The North American Securities Administrators Association (NASAA) has approved sweeping amendments to its Statement of Policy Regarding Real Estate ...

Tips to Build Relationships at Nonprofit Events

September 10th, 2025

September marks the unofficial start of gala season in the nonprofit sector, bringing together high-net-worth individuals, community leaders, and p...

Next-Generation Investors Poised to Leave Advisors Amid Wealth Transfer

September 9th, 2025

Years of effort by financial advisors to retain younger heirs during the "great wealth transfer" have yet to produce the intended results.

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