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Stifel Independent Advisors grew its advisor headcount 12% and AUM over 70% last year. Its CEO says firms have a major blind spot when supporting independent advisor growth.
February 14
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The federal regulator's annual list of inspection priorities shows particular concern that hybrid advisor/brokers aren't properly explaining to clients how they're compensated.
February 8
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A pair of Laidlaw & Company brokers will have to pay nearly $150,000 in restitution and fines for failing to put their clients' interests ahead of their own.
February 6
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Democrats contend Finance Committee Chair Patrick McHenry has made the regulation of digital assets a priority over industry diversity.
February 2
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Financial Planning announces its 2023 class of the top 40 most productive employee brokers under age 40 at regional firms.
February 1
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Financial Planning announces its 2023 class of the top 40 most productive employee wealth management brokers under age 40.
February 1
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From BNY Mellon to the mutual fund giant Fidelity Investments, BlackRock and Nomura Holdings, members of the Wall Street establishment are planning for a future in digital assets.
January 30
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Market appreciation and interest rates have masked the "accelerating disruptions" that will yield winners and losers in wealth management.
January 27
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The Wall Street firm is among the big-name companies that are in hot water with te
January 27
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At Future Proof, the founder of Pearl Planning cited fixed-income experts whose panel discussions identified value to unlock amid tumbling returns.
January 25
