Financial Advisor Blog - Page 70 - Financial Advisor Transitions

Wells Fargo Advisors Bring Together Separate Markets in New England Region

December 14th, 2022

As Wells Fargo Advisors continues to streamline its field leadership structure, it is combining four markets in its New England region under one le...

Credit Suisse Warns of $1.6 Billion Loss

December 13th, 2022

After some customers pulled their investments and deposits, Credit Suisse Group AG warned that it would lose around $1.6 billion in the fourth quar...

Moody's Investors Services Upgrades LPL's Debt to Investment Grade

December 12th, 2022

Moody's Investors Services recently has upgraded bonds backed by LPL Financial Holdings to investment grade from junk. Moody's gave LPL's senior un...

Firms With the Most Female Advisors According To Financial Planning's IB...

December 9th, 2022

Data rankings compiled through Financial Planning's annual IBD Elite study show that the share of women financial planners remains around 25 percent.

Commonwealth Invests In Advisory Firms

December 8th, 2022

Commonwealth Financial Network is introducing an effort to buy minority stakes in advisory firms that utilize its brokerage and registered investme...

Sanctuary To Pay $2 Million To Former CEO

December 7th, 2022

Sanctuary Wealth, formerly known as David A. Noyes & Co., an Indiana-based broker-dealer, has lost a year-long legal battle over the termination of...

CFTC Urges Crypto Whistleblowers To Come Forward

December 6th, 2022

The Commodity Futures Trading Commission (CFTC) has announced that crypto whistleblowers should come forward following FTX Group's implosion.

ThinkAdvisor's Guide To Fine Dining With Clients

December 5th, 2022

As advisors develop social relationships within the high-net-worth community, they often find themselves going out to dinner.

Recruiters Prepare for FINRA's Annual Pause on Processing Registration R...

December 2nd, 2022

Advisors looking to transition from one firm to another firm must do so before December 22nd in order to avoid the Financial Industry Regulatory Au...

Financial Services Firms To Increase Compliance Staff

December 1st, 2022

According to a recent survey of industry compliance leaders, the Securities and Exchange Commission's (SEC) aggressive regulatory agenda is causing...