Financial Advisor Blog - Page 74 - Financial Advisor Transitions

FINRA CE Program Changes To Start January 2023

October 17th, 2022

Starting January 2023, broker-dealers and their representatives will face new Continuing Education (CE) requirements as part of The Financial Indus...

Department of Labor Proposes New Independent Contractor Rule

October 14th, 2022

The Department of Labor has proposed a new rule meant to change the employment status of independent contractors, which may affect financial ...

Credit Suisse Under Investigation For Allegedly Helping Customers Hide A...

October 13th, 2022

Eight years after Credit Suisse paid a $2.6 billion tax-evasion settlement and pledged to tackle the issue, the Justice Department is investigat...

Wirehouses Using TV To Target Sports and Entertainment Industry Clients

October 11th, 2022

UBS and Morgan Stanley soon will be coming to a television near you, promoting their divisions that cater to the sports and entertainment industrie...

$1 Billion Breakaway Team Chooses Goldman Sachs As Sole Custodian

October 10th, 2022

A Merrill Lynch team in Beverly Hills, California, has left to form Beverly Hills Private Wealth, a registered investment advisor (RIA).

Merrill Lynch Resumes Aggressive Recruiting of Veteran Advisors To Comba...

October 7th, 2022

After five years of avoiding hiring veteran advisors, Merrill Lynch has sweetened its offers for experienced advisors to as much as 325 percent of ...

SEC Sues Former Advisor Who Sold Practice to Fraudulent RIA

October 6th, 2022

The Securities and Exchange Commission (SEC) brought civil charges against a former advisor who sold his practice to an alleged fraudster in Jackso...

Advisors From Merrill Lynch and Morgan Stanley Join UBS

October 5th, 2022

UBS Wealth Management USA has successfully recruited a group of teams managing around $2.4 billion in combined assets at rival wirehouses.

How Watches Reveal Key Qualities in Broker-Dealers

October 4th, 2022

Watches and broker-dealers? Jon Henschen of Henschen & Associates, LLC matched up his love for watches with four of his broker-dealer clients.

LPL Promotes How It Helps Advisors Build The Perfect Practice

October 3rd, 2022

LPL Financial is inviting advisors to explore how they can build and grow the perfect practice.