Financial Advisor Blog - Page 98 - Financial Advisor Transitions

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...

Interactive Brokers Adds New RIA Clients By Differentiating Itself From ...

April 28th, 2022

Interactive Brokers continues to successfully attract RIAs to its platform through several features that separate it from rivals. Steve Sanders, ex...

CFP Board Announces New Annual CFP® Certification Fee

April 27th, 2022

The Certified Financial Planner Board of Standards (CFP Board) approved CFP Board's 2022-2026 Strategic Plan. The plan includes an ambitious list o...

Four Types of Millennial Retirees, According to Schwab

April 26th, 2022

According to a study released this week by Charles Schwab, millennials have started saving for retirement in their mid-20s. Despite their early sav...

Morgan Stanley Advisor Teams Get Exclusive Access to E*Trade Referrals

April 25th, 2022

Teams have been popular among the wirehouses and other types of firms. Morgan Stanley encourages teams so much so that to receive referrals of weal...