Financial Advisor Blog - Page 80 - Financial Advisor Transitions

Advisor Headcount At Wells Fargo Advisors Showing Signs of Stability

July 19th, 2022

According to its second-quarter earnings report, annualized revenue per advisor has increased, even with the declining market during the year's fir...

Reps Barred For Cheating on FINRA Qualifying Exams

July 18th, 2022

For the first time in history, the Financial Industry Regulatory Authority (FINRA) has brought enforcement actions against two advisors for cheatin...

Private Equity Has Become Billionaire Families' Favorite Asset Class

July 15th, 2022

According to ThinkAdvisor, the enthusiastic marketing efforts are responsible for the fact that billionaire family offices and high-net-worth retai...

Wentworth Management To Go Public Through A SPAC

July 14th, 2022

Wentworth Management Services has announced that it will go public through a special purpose acquisition company (SPAC) with the ultimate goal of g...

Wealth Management Firms Receive Top Advisor Satisfaction Rankings Amid R...

July 12th, 2022

Nine out of 13 wealth management firms that ranked in J.D. Power's annual advisor satisfaction study received lower scores than they received last ...

Stifel Advisor Killed In Mass Shooting

July 11th, 2022

Stephen Straus, financial advisor and long-time resident of Highland Park, Illinois, was one of the seven people killed in the July 4 shooting, acc...

FINRA Reported $218.8 Million Net income in 2021

July 6th, 2022

The Financial Industry Regulatory Authority (FINRA) reported $218.8 million in net income for 2021.

Summer 2022 Wealth Management Reading Guide

June 30th, 2022

It's time for a slowdown in the advisory business, summer vacations, and a little more time for relaxing and reading.

Goldman Sach's Consumer Business Exceeds $1.2 Billion in Losses

June 29th, 2022

In an effort to attract investors, Goldman Sachs Group executives had announced a promising outlook for their Main Street business.

Wirehouse Recruiting Losses Accelerate

June 28th, 2022

Trends among wirehouses demonstrate that recruiting numbers continue to decrease throughout the industry.