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As more financial advisors near retirement without clear succession plans, some RIAs are turning to ESOPs and Section 1042 rollovers to exit on their own terms.
January 30
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Linda Friedman, who has made a career with Wall Street discrimination and harassment cases, is representing an ex-Citi executive in a bombshell lawsuit this week. Things didn't have to take this turn, she contends.
January 30
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In the coming weeks, the CFP Board will launch a working group to reconsider whether a bachelor's degree should remain a requirement for CFP certification.
January 29
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Ahead of the expected closing of Fifth Third Bank's deal to acquire Comerica Bank, Ameriprise CEO Jim Cracchiolo provided few new details.
January 29
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Red flags may abound, but so do arguments for an extended equities streak. Keeping clients on an even keel is crucial.
January 29
Wealth Teams Alliance -
The accounts give wealthy investors more opportunities to place alternative vehicles in a tax-advantaged retirement nest egg. But mistakes can be costly.
January 28
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Social media platforms can change quickly (case in point: X). In response, advisors who may instead choose to rely on their own communication channels.
January 28
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Stifel CEO Ron Kruszewski said a surge in advisor recruiting and record wealth management results could lead the firm to invest even more in hiring in 2026.
January 28
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In a court petition, Citi cites numerous messages showing former global head of platform and experiences Julia Carreon allegedly praising Sieg for his work overhauling the firm's wealth management division.
January 28
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Two teams and one advisor managing a combined $1.3 billion choose to set up shop at Wells Fargo's channel for independent advisors.
January 27
