If you're considering selling, the first question you need to answer is whether you want to join a fully integrated firm with a bold mission or become part of a financial consolidator
The post Looking out for your Aunt Sally appeared first on InvestmentNews.
Read More
When zero fees are not expensive enough
The post ETF market continues searching for the perfect expense ratio appeared first on InvestmentNews.
Read More
Regulators say older advisory workforce may have issues related to cognitive impairment
The post NASAA study on aging advisers suggests firms consider requiring succession plans appeared first on InvestmentNews.
Read More
SEC member Peirce, up for re-nomination, says crypto regulation is high on her agenda
The post SEC nominee Crenshaw vows to hold financial firms accountable for mitigating conflicts appeared first on InvestmentNews.
Read More
The deal brings the firm's retirement plan AUM to a reported $50 billion
The post Resources picks up $2B 401(k) consultant appeared first on InvestmentNews.
Read More
The independent broker-dealer also parts ways with an auditor and its valuation company
The post GPB Capital reports nearly $200 million drop in AUM appeared first on InvestmentNews.
Read More
Stephen Langlois will serve as president while James Poer remains CEO of the parent company
The post Former eMoney exec tapped to lead Kestra B-D unit appeared first on InvestmentNews.
Read More
Mike Santomassimo will succeed John Shrewsberry as the bank prepares to cut costs
The post Wells Fargo hires BNY Mellon executive as CFO appeared first on InvestmentNews.
Read More
Firms make it easy to stay put for the entirety of an adviser’s career, yet many advisers are feeling uncomfortable with that notion — worrying that what got them 'here' may not get them 'there'
The post Five questions wirehouse advisers need to ask themselves appeared first on InvestmentNews.
Read More
Second-quarter earnings show the bank's wealth management profit in Asia helped offset a 37% drop in profit year-on-year for the business in the Americas
The post UBS may resume share buybacks appeared first on InvestmentNews.
Read More
The bank allegedly allocated bonds intended for retail customers to 'flippers' who resold them to broker-dealers for profit
The post UBS slapped with $10 million fine for SEC violations appeared first on InvestmentNews.
Read More
Michael Barry Carter pleads guilty in a parallel criminal action in Maryland federal court
The post SEC charges former Morgan Stanley rep with stealing $6 million from clients appeared first on InvestmentNews.
Read More
Sen. Patty Murray recently requested a session on DOL’s investment advice measure
The post Former DOL officials say agency historically grants hearings on regulatory proposals appeared first on InvestmentNews.
Read More
The Secretary of the Commonwealth of Massachusetts takes another swipe at sales of high-priced products
The post Ex-Next Financial rep charged by Galvin with overselling REITs appeared first on InvestmentNews.
Read More
The bank will also help develop a global accounting standard financial institutions can use to measure their impact on the climate
The post Morgan Stanley to report on climate change impact of loans appeared first on InvestmentNews.
Read More
A survey of advisers' expectations for the next 12 months shows the only consensus is that there's a rocky road ahead
The post ESG, active management poised to gain amid uncertainty appeared first on InvestmentNews.
Read More
The company is among the latest targeted in a wave of ERISA litigation this year
The post Biogen faces class action over 401(k) fees appeared first on InvestmentNews.
Read More
The pandemic has left the state facing a projected four-year deficit of $61 billion
The post New York state legislature considers tax on stock trades appeared first on InvestmentNews.
Read More
COVID-19 could have long-term consequences for Americans' retirement security, says the Secure Retirement Institute
The post Meager savings led workers to tap retirement accounts, survey finds appeared first on InvestmentNews.
Read More
Applicants who received funds can fill out forms on the AICPA site
The post Accounting group offers free PPP loan forgiveness tool appeared first on InvestmentNews.
Read MoreWe're here to help. Send us an email or call us at +1 (855) 502-8919. Please feel free to contact our experts.
A donation will be made by Adviser First Partners to a Veterans organization on behalf of all financial professionals and firms that register each month
Contact Us
© 2022 Adviser First Partners. All Rights Reserved.
Web Design by eLink Design, Inc., a Kentucky Web Design company
