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The test for independent advisor representatives will have novel sections on IPOs and SPACs.
March 10
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Two brokers who left Charles Schwab to join the rival firm thought they were safe to bring their client books with them. FINRA says they were wrong.
March 6
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In addition to the major robo-advisory deal, this week's recap features new partnerships for Vestwell and Riskalyze, and a new leader at Advisor360°.
March 1
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Following Don Plaus's retirement announcement last week, Merrill is moving around longtime veteran insiders to fill his role.
February 27
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Don Plaus, a Merrill veteran who oversaw the Private Wealth advisors' expansion in Florida, came from a "modest background" but over a long career, rose to lead teams advising many of the world's richest people.
February 22
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The founders of the Financial Professionals Coalition contend that most industry groups back firms and big players. They plan to stand up for the little guy.
February 21
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Merrill Video Pro wants to transform planners into their clients' most clickable content creators
February 15
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Nathan Stibbs will be the midsize independent firm's first director of corporate strategy after it picked up more than a dozen teams in 2022.
February 10
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The case of fired broker Cory Clem, who accused former Edward Jones colleagues of betraying him and stealing his valuable client relationships, illustrates how things can go wrong during transitions. Here's what advisors can learn about making a clean break.
February 9
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The pandemic changed work, and the colloquial terms and phrases that go with it.
February 8
