Financial Advisor Blog - Page 78 - Financial Advisor Transitions

Creative Planning Acquires Wipfli Financial

August 17th, 2022

Creative Planning has purchased Wipfli Financial, an RIA managing $5 billion in client assets.

RBC President Discusses the Importance of Planning and Human Connections

August 16th, 2022

RBC Wealth Management President Tom Sagissor discussed a wide range of topics in an interview with AdvisorHub, including volatile markets and the f...

FINRA Suspends Former UBS Advisor Over Client Text Communications

August 15th, 2022

Zachary Hansen has been suspended for 45 days and fined $7,500 for using his personal cell phone to communicate with customers.

Advisor Headcount at UBS Declines

August 12th, 2022

Advisor headcount at UBS has fallen to almost 5,600, well below the firm's publicly reported figures for its Americas unit.

Second Quarter Advisor Moves

August 11th, 2022

Recently, there has been an apparent slowdown in advisor recruiting as firms focus on increasing their headcounts and assets through mergers and ac...

J.P. Morgan's New REIT and New Focus on Commodities

August 10th, 2022

J.P. Morgan is shaking up its menu a bit.

Retention Rates Improving At Edward Jones

August 9th, 2022

According to Edward Jones second-quarter report, the company's new model shows improved advisor retention rates.

Wall Street Bonuses Expected To Decline

August 8th, 2022

As deals begin to slow down across the financial industry, professionals who enjoyed lavish bonuses in 2021 should not expect the same for 2022.

FINRA Fines Morgan Stanley For Inaccurate Research Reports

August 5th, 2022

The Financial Industry Regulatory Authority (FINRA) has censured and fined Morgan Stanley $325,000 for issuing thousands of research reports contai...

LPL Attributes "Seasonality" Increases Advisor Payouts

August 4th, 2022

LPL's financial advisors saw an almost 1 percent payout increase in the second quarter of this year.