Finra slaps reps who carried client information out the door
Two former wirehouse brokers run afoul of Reg S-P, according to Finra
The post Finra slaps reps who carried client information out the door appeared first on InvestmentNews.
Read MoreNews
-
-
Focus Financial takes stake in $682 million RIA
Kavar Capital Partners, founded in 2011, is based in Leawood, Kansas
The post Focus Financial takes stake in $682 million RIA appeared first on InvestmentNews.
Read More -
Hottest debate on Wall Street is Bitcoin versus gold
Bitcoin shot to a record just as billions of dollars have fled gold, renewing arguments about whether the digital currency can rival gold as an inflation hedge
The post Hottest debate on Wall Street is Bitcoin versus gold appeared first on InvestmentNews.
Read More -
Nasdaq plans to require more diversity on listed company boards
Under the proposed rules, most companies on the U.S. exchange would have to have one woman director and one who is minority or LGBTQ
The post Nasdaq plans to require more diversity on listed company boards appeared first on InvestmentNews.
Read More -
Establishing Your Brand as an Independent Advisor
Thinking about going independent? Brush up on the basics of telling your breakaway brand story.
The post Establishing Your Brand as an Independent Advisor appeared first on InvestmentNews.
Read More -
A Financial Planning Focus on Millennial Women
Millennial women are approaching their peak earning years. Is your firm ready to serve them?
The post A Financial Planning Focus on Millennial Women appeared first on InvestmentNews.
Read More -
BlackRock, Vanguard not that supportive of shareholder ESG resolutions
BlackRock voted in favor of just 11% of climate resolutions in the 12 months ended in August, while Vanguard voted in favor of 15%
The post BlackRock, Vanguard not that supportive of shareholder ESG resolutions appeared first on InvestmentNews.
Read More -
Last call for coronavirus-related distributions
CRDs are only available until year-end, so advisers should contact any clients who may still benefit from taking a distribution before the option expires
The post Last call for coronavirus-related distributions appeared first on InvestmentNews.
Read More -
Orion taps Ascensus veteran to expand 529 offering
Orion currently serves as program manager for Texas' 529 plan and partners with the program managers for Mississippi and Vermont
The post Orion taps Ascensus veteran to expand 529 offering appeared first on InvestmentNews.
Read More -
401(k) litigators target Coca-Cola bottler
The lawsuit, like others, cites allegedly excessive investment and administrative fees
The post 401(k) litigators target Coca-Cola bottler appeared first on InvestmentNews.
Read More -
Diversity among those developing financial products and services is crucial to full engagement
Need inclusive culture to help attract and retain investors of the future
The post Diversity among those developing financial products and services is crucial to full engagement appeared first on InvestmentNews.
Read More -
Why hosting a two-day retreat is critical to your 2021 success
You'll need new ideas to take your business to the next level, and you need time to develop those ideas
The post Why hosting a two-day retreat is critical to your 2021 success appeared first on InvestmentNews.
Read More -
San Diego hybrid managing $250 million returns to LPL
Nautica Wealth Advisors had moved with its OSJ to Cetera for three years
The post San Diego hybrid managing $250 million returns to LPL appeared first on InvestmentNews.
Read More -
SEC settles with RIA involved in $3 million Ponzi scheme
Craig Rumbaugh and his California-based firms will pay $1 million for misleading investors
The post SEC settles with RIA involved in $3 million Ponzi scheme appeared first on InvestmentNews.
Read More -
S&P to buy IHS Markit for $39 billion
The deal accelerates the wave of consolidation among the finance industry’s biggest data providers
The post S&P to buy IHS Markit for $39 billion appeared first on InvestmentNews.
Read More -
As Prospecting Gets Harder, Advisers Remain Shy on Client Referrals
As advisers embrace alternative communication modes many remain hesitant to utilize client referrals, new research shows.
The post As Prospecting Gets Harder, Advisers Remain Shy on Client Referrals appeared first on InvestmentNews.
Read More -
Tesla FOMO puts focus on direct indexing
The electric car maker is about to join the S&P, but investors in S&P 500 index funds have missed a huge rally in the company’s shares
The post Tesla FOMO puts focus on direct indexing appeared first on InvestmentNews.
Read More -
Morningstar makeover confirms I need to keep leaning on stocks
Lessons learned after letting Christine Benz analyze the way I save for retirement
The post Morningstar makeover confirms I need to keep leaning on stocks appeared first on InvestmentNews.
Read More -
Getting comfortable with the uncomfortable: How advisors can start the tough conversations
Advisors can strengthen client bonds by guiding the tough conversations that come with comprehensive life planning.
The post Getting comfortable with the uncomfortable: How advisors can start the tough conversations appeared first on InvestmentNews.
Read More -
How women-led fintechs are combating the gender wealth gap
Female-led fintechs use digital platforms to curate content and tools aimed at deconstructing systemic issues that have kept women from investing
The post How women-led fintechs are combating the gender wealth gap appeared first on InvestmentNews.
Read More
Have any Questions?
We'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 UsSubscribe to our mailing list.
© 2023 Adviser First Partners. All Rights Reserved.
Web Design by eLink Design, Inc., a Kentucky Web Design company