Financial Advisor Blog - Page 36 - Financial Advisor Transitions

Willow Aims to Revolutionize Financial Advisory Services for Women and N...

August 7th, 2024

Willow, an innovative wealth tech platform, is attempting to reshape how financial advisors connect with women and NextGen investors.

Wells Fargo Faces Class Actions Lawsuit Over Cash Sweep Program Interest...

August 5th, 2024

Wells Fargo Advisors has been hit with a class action lawsuit over the interest rates it offers in its cash sweep program, despite recent rate incr...

Effective Client Onboarding: Laying the Foundation for a Successful Fina...

August 2nd, 2024

Financial Planning has published a list of onboarding questions to ask clients to effectively begin the financial planning process.

Why Investors Stay: The Emotional and Financial Motivations Behind Loyal...

August 1st, 2024

Research from Morningstar reveals that investors' loyalty to their financial advisors is driven more by emotional reasons than financial returns.

FINRA's 2024 Industry Snapshot: Key Takeaways

July 31st, 2024

The Financial Industry Regulatory Authority (FINRA) has unveiled its 2024 Industry Snapshot, a comprehensive statistical report detailing the curre...

Michael Kitces on the Future of Financial Advice

July 30th, 2024

At the recent Morningstar Investment Conference, renowned blogger and speaker Michael Kitces led an insightful session on the evolving state of fin...

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 ...