Financial Advisor Blog - Page 75 - Financial Advisor Transitions

Fundraising for Non-Traded Alternative Investments Expected to Increase

September 30th, 2022

Sales of non-traded alternative investments have totaled $77.1 billion annually through August 2022.

Texas State Comptroller Blocks UBS Municipal Bond Deal

September 29th, 2022

UBS' municipal-underwriting subsidiary has lost out on a Texas bond deal after the state comptroller included UBS Financial Services on a list of f...

Financial Service Firms Enact Evacuation Plans In Preparation for Hurric...

September 28th, 2022

Several financial services firms based in Florida have closed their doors in preparation for Hurricane Ian.

Recruiting Bonuses Near 400% for Top Producers

September 27th, 2022

Aggressive recruiting has returned. Now more than ever, firms across the country are competing for experienced producers and are using bonuses to b...

NASAA Approves New Model Rules to Facilitate Advisors' Return to Industry

September 26th, 2022

The North American Securities Administrators Association (NASAA) has approved two model rules allowing advisors to maintain their licenses when the...

Unexpected Places Advisors Can Meet Prospective Clientele

September 23rd, 2022

Building a network of wealthy individuals is no easy task. Successful advisors know that the key is investing the time it takes to develop social r...

Morgan Stanley Hit With $35 Million Fine Over Data Security

September 22nd, 2022

The Securities and Exchange Commission (SEC) has ordered Morgan Stanley to pay a $35 million fine to settle data security allegations.

Lessons From Queen Elizabeth

September 21st, 2022

There are many lessons advisors can learn from Queen Elizabeth's habits and traits and incorporate into their daily practices.

Goldman Sach's Consumer Banking Unit Facing Fed Scrutiny

September 20th, 2022

Fed officials have looked into Goldman Sach's Consumer Banking unit "Marcus" for the last several weeks.

Industry Prepares for NASAA's Proposed Policy Regulations

September 19th, 2022

The North American Securities Administrators Association (NASAA) has ended its comment period on its proposed policy statement regarding Real Est...