Financial Advisor Blog - Page 50 - Financial Advisor Transitions

Survey Reveals Growing Dependence of Advisors on Home Office Models

October 11th, 2023

A report from Fuse Research Network revealed that the abundance of models offered by home offices and third-party asset managers has effectively co...

Industry Group Raises Concerns Over SEC AI Proposal's Impact on Retireme...

October 10th, 2023

In July, the Securities and Exchange Commission (SEC) released a rule proposal that requires investment advisers and brokers who utilize artificial...

Navigating Turbulent Investment Waters: Insights from 9 Leading RIAs

October 9th, 2023

WealthManagement.com interviewed investment leaders from some of the largest RIAs in the industry to gain insights into their allocation adjustment...

Ampersand Partners Recruits Financial Advisors From Edward Jones and Wel...

October 5th, 2023

Former Wells Fargo Advisors executives launched Ampersand Partners, a hybrid broker-dealer and advisory firm, just two months ago.

Hightower's Strategic Realignment Leads to 5% Workforce Reduction

October 4th, 2023

Chicago-based Hightower has downsized its workforce, reducing its workforce by 5%.

Morgan Stanley Toughens Earnings Targets for Financial Advisors

October 3rd, 2023

In 2024, Morgan Stanley's 15,000 financial advisors must generate more revenue and work harder to maintain their current take-home pay.

U.S. Capital Advisors Terminates Billion-Dollar Advisor Over Unearthed B...

October 2nd, 2023

U.S. Capital Advisors has terminated David M. Harris, one of its largest producers, after discovering his plans to start his own firm, as reported ...

LPL Expands Succession Program for Wirehouse Teams and Independent RIAs

September 29th, 2023

LPL Financial is expanding its succession program to include wirehouse teams and independent RIAs.

NASAA Unveils Updated Exam Preparation Guides

September 28th, 2023

The North American Securities Administrators Association (NASAA) released new study guides for candidates who want to take the Series 63, Series 65...

Wells Fargo's $1 Billion Transformation Directed at Financial Advisors

September 27th, 2023

Wells Fargo & Co. has spent nearly $1 billion over three years attempting to attract hundreds of financial advisors to join its independent platform.