Financial Advisor Blog - Page 42 - Financial Advisor Transitions

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Challenges Mount for B. Riley Retail Advisors Amid Struggling Deal

December 15th, 2023

In August, B. Riley Financial Inc. disclosed that it had invested $216.5 million in the $2.8 billion management-led acquisition of Franchise Group ...

JPMorgan Retains 90% of First Republic Clients Post Takeover

December 14th, 2023

JPMorgan Chase & Co. has retained 90% of First Republic's clients following its acquisition of the bank in a government-led auction earlier this year.

Suggestions for Retaining Affluent Sons and Daughters of Your Clients

December 13th, 2023

Trillions of dollars are expected to be passed down within families in the coming decades.

Anticipated Surge in Wealth Management Bonuses Comes at the Expense of B...

December 12th, 2023

As bonus season approaches on Wall Street, bankers face a challenging landscape marked by rising interest rates, bank failures, and a slowdown in d...

Center Street Securities Announces Closure

December 11th, 2023

Center Street Securities Inc., a broker-dealer affiliated with the Financial Industry Regulatory Authority (FINRA), has formally requested terminat...

Edward Jones Exceeds Annual Hiring Goal and Introduces New Bonus

December 8th, 2023

Edward D. Jones & Co. announced that the company has exceeded its goal of adding at least 1,500 new advisors this year, with the addition of 1,659 ...

Significant Decline in Non-traded REIT Sales in 2023

December 7th, 2023

This year witnessed a substantial decline in the sales of non-traded real estate investment trusts (REITs), with the industry raising $9 billion th...

Investor Groups Scrutinize FINRA's Proposal Allowing Advisors to Forecas...

December 6th, 2023

The Financial Industry Regulatory Authority (FINRA) proposed expanding exceptions to its rule prohibiting advisors from forecasting future investme...

CFP Board Appoints New Managing Director of Government Relations Department

December 5th, 2023

The Certified Financial Planning ("CFP") Board has announced the promotion of two of its staff members in a recent press release.

$2M Producer's Compensation Packages

December 4th, 2023

Financial Planning annually analyzes base pay for advisors by examining payout rates for those generating $2,000,000 in production in 2023.

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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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