Financial Advisor Blog - Page 57 - Financial Advisor Transitions

SEC Bars Chief Compliance Officer Convicted of Fraud

June 26th, 2023

The Securities and Exchange Commission (SEC) has taken action against the former chief compliance officer of a closed investment advisory firm in u...

SEC Committee Proposes User Fees and Third-Party Exams for RIAs To Boost...

June 23rd, 2023

The Securities and Exchange Commission's Investment Advisory Committee has put forward a recommendation aimed at addressing the challenges faced by...

Settlement Reached as Another Morgan Stanley Advisor Resolves Inherited ...

June 22nd, 2023

According to a settlement issued by the Financial Industry Regulatory Authority (FINRA), a former Morgan Stanley advisor has agreed to a one-month ...

Top Ten Competitors Vying For Your Clients

June 21st, 2023

The term "financial advisor" is used frequently by all kinds of professionals in the financial services industry.

Top 15 Small and Midsize Cities with the Best Quality of Life

June 20th, 2023

Livability.com and Applied Geographic Solutions collaborated to produce their 10th annual list of the 100 best small and mid-sized cities in the Un...

Emojis in Financial Advisory: Industry Regulators Engage in Serious Deba...

June 19th, 2023

Emojis are widely accepted among advisors as a quick way to show enthusiasm or add a friendly tone to their messages.

Commonwealth Acquires $881M Firm From Securian Financial

June 16th, 2023

Commonwealth Financial Network has acquired Foundations Financial Partners from Securian Financial.

UBS Completes Takeover of Credit Suisse, Forming Global Wealth Managemen...

June 15th, 2023

UBS has successfully acquired Credit Suisse, resulting in the formation of a prominent global wealth-management powerhouse.

Former GPB Capital Executive Pleads Guilty To Fraud

June 14th, 2023

Jeffrey Lash, former GPB Capital Holdings managing director, has pled guilty to a single count of wire fraud in connection with an alleged $1.8 bil...

15 Events to Impress Clients: A Guide for Financial Professionals

June 13th, 2023

When advisors offer unique and enjoyable experiences, they increase the opportunities to enhance their relationships and attract new clients.