Financial Advisor Blog - Page 84 - Financial Advisor Transitions

Ten Things Advisors Can Do To Boost Business

May 12th, 2022

Bryce Sanders of ThinkAdvisor.com has shared his thoughts regarding boosting business, and they are worth sharing. According to Sanders, there are...

Snapshot of the Broker-Dealer Industry in Five Charts

May 11th, 2022

The Financial Industry Regulatory Authority (FINRA) released its annual Industry Snapshot, a statistical report on the brokerage firms, registered ...

LPL reaches 20,000 Advisor HeadCount Milestone

May 10th, 2022

LPL Financial announced it has reached more than 20,000 working and registered financial advisors across its platforms. LPL's senior management sha...

UBS To Make Changes To Account-Size Threshold

May 9th, 2022

UBS Wealth Management USA announced it is increasing its account-size threshold. The change is expected to take effect on June 30, amid UBS's goal ...

Market Volatility Makes For More Challenging Recruiting Environment

May 6th, 2022

Clients, and their advisors, hesitate to make changes during volatile market times.

Advisor Headcount – and Interest Rate Optimism – Increase At Raymond...

May 5th, 2022

Raymond James Financial Inc. continues to be pleased with its success in adding financial advisors to its ranks. Raymond James reported a record of...

Financial Advisors Find Comfort In Alternative Strategies During Market ...

May 4th, 2022

Current market conditions and economic uncertainty are causing advisors to consider diversification into alternative investments.

Credit Suisse Parts Ways With Three Senior Executives After Major Quarte...

May 3rd, 2022

Credit Suisse Group AG reported a net loss of $284 million in the first quarter driven by legal expenses as well as a charge related to Russian exp...

First Horizon Advisors Resolves FINRA Case Before TD Bank Acquisition

May 2nd, 2022

First Horizon Advisors has agreed to pay a fine of $175,000 to resolve FINRA allegations that the firm of failed to investigate red flags raised by...

Ex-Ameriprise Advisor Who "Falsified" $25K in Client Event Expenses Bann...

April 29th, 2022

According to AdvisorHub, The Financial Industry Regulatory Authority (FINRA) banned Shawn Parker (Parker) a former Ameriprise Financial Services ad...