More about InVest: As new digital tools transform wealth management, the industry’s largest players are rushing to adapt to ever-increasing customer expectations, while smaller firms strive to keep pace. Behind the scenes, many are investing more on technology and hiring to drive growth, but margins remain under pressure. In|Vest West is exploring all the dynamics at play — from front to back office — and the technologies that are shaping the future of the firm.
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Critics of FINRA’s current system for removing client complaints from brokers’ records are seeking to vacate an arbitration award.
May 3
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The wirehouses respectively ran afoul of requirements related to two industry recordkeeping systems over roughly three years, according to FINRA.
May 3
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Grantor-retained annuity trusts thrive in a volatile stock market. Here are the lucrative tax reasons.
May 3
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The award-winning advisor marketing technology firm is celebrating a new deal on the eve of its inaugural conference in Las Vegas.
May 3
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Despite earlier alerts and a wave of cases related to the LJM Preservation & Growth Fund, the regulator sees “continuing” deficiencies.
May 2
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The wealth programs in the channel are going through a significant shift amid major recruiting moves and consolidation, according to a consultant’s report.
May 2
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Good client care requires addressing all the emotional layers that come with financial planning.
May 2
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Missy Plohr-Memming is senior vice president of MetLife’s Group Benefits National Accounts Sales organization, which provides employee benefits solutions to U.S. based employers with 5,000 or more employees. In this role, Plohr-Memming oversees sales strategy and key growth initiatives to drive top-and bottom-line financial results.
May 2
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That's an opportunity for millennial investors, one advisor says.
May 2
