Financial Advisor Blog - Page 62 - Financial Advisor Transitions

2023 Must-Read Summer Book Selections

July 6th, 2023

InvestmentNews has published its annual summer reading list.

Former Wirehouse Executive Robert McCann Criticizes Large Firms for Losi...

July 5th, 2023

According to Robert J. McCann, former head of UBS Wealth Management USA, certain major wealth management firms have lost sight of their priorities.

NAPFA Approves Membership for Advisors with Trailing Commissions

June 30th, 2023

NAPFA Approves Membership for Advisors with Trailing Commissions

Cerulli's Insight on Why 72% of Rookie Advisors Don't Make the Cut

June 29th, 2023

The financial services industry has long struggled with high dropout rates, with over 72% of trainees failing to become full-fledged advisors last ...

UBS Initiates Massive Workforce Reduction, Targeting Over 50% of Credit ...

June 28th, 2023

UBS Group AG is set to significantly reduce Credit Suisse Group AG's workforce by over 50% in the coming month following the emergency takeover of ...

Americans' Spending on Financial Services Surged by 14% in the Past Year

June 27th, 2023

According to new research by the Financial Health Network, Americans paid 14% more for financial services last year due to rising interest rates on...

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.