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Serving a client’s best interest means focusing on fewer households. Staying profitable means choosing the right ones. Editor Lee Conrad talks with LPL exec Arthur Osman about segmenting a book of business.
May 22
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Scottrade and Schwab fell out of the top three, while Capital One Investing led a retail bank surge in the J.D. Power report.
May 22
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The group opted to join HighTower, which has added nine teams so far this year.
May 22
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Most fortunes disappear by the time grandchildren have taken control.
May 22
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Opponents of the regulation don’t have “new evidence” to beat back a final legal challenge, says the former assistant secretary of the Department of Labor.
May 22
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C.L. King & Associates argued it did not break any FINRA rules.
May 22
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The products are aimed at reducing volatility for clients seeking long-term growth. Plus: other launches.
May 19
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A 2014 law lets clients disabled before the age of 26 to save as much as $14,000 annually without facing any tax burden.
May 19
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The number of employees involved in compliance and regulatory work at U.S. Bank doubled over the past three years.
May 19
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Fee-only advisors should view it as a way to help more people rather than a sales exercise, according to one consultant.
May 19
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Robert Goff discusses how to maintain culture without generating conflict.
May 19
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The firm says its external backup system failed at the same time its main internet connection was cut, raising concerns.
May 18
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One refused to cooperate with an investigation into allegations that he engaged in unauthorized trading in two customers' accounts.
May 18 -
The firm’s newest team left Wells Fargo’s independent channel.
May 18
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The regulator wants the exam process to be a dialogue with firms and advisers.
May 18 -
The move is the latest in a string of new hires at the regional brokerage firm.
May 18
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The CEO of a large custodian firm challenged advisers to take on diversity or become irrelevant.
May 18
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The OCIE is suggesting best practices for firms to protect themselves.
May 18
Cipperman Compliance Services -
The broker says the decision to switch firms was "an easy one."
May 17
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The firm's latest hires joined from regional brokerage D.A. Davidson.
May 17
