Professional development

In a rebuttal to the Board’s recently installed director of enforcement, John H. Robinson says Tom Sporkin is delivering more organizational spin at the expense of transparency and consumer interests.

Sonya Lutter joined Herbers & Co.'s Academy as its new director of institutional research and education.

Besides the low pass rates, Jared Dillian argues that the certification doesn't make better advisors.

The COVID-19 pandemic is taking some of the blame for the low scores.

The first annual award will identify and celebrate young RIA professionals and career changers who are advancing the industry.

The organization seeks to expand on the success of its first year offering the internship-style training in its second summer.

Almost nine in 10 estate planners say women clients either lost their jobs, had their salaries cut or left the workforce during the pandemic, a study shows.

The program has historically been high-stakes and cold-calling friendly. Novice advisors can expect something different now.

Advisors with disciplinary histories who keep other registrations after leaving FINRA BrokerCheck are much more likely to commit infractions, researchers say.

Participants will instead be directed to use internal referrals or LinkedIn messages, according to a person familiar with matter.

The former head of Bridgewater Associates suggests tying CEO pay to inclusion efforts.

The MC of the Conference of African American Financial Professionals discusses The American College of Financial Services’ efforts to improve diversity in the industry.

With Edward Jones poised to settle a racial discrimination class action for $34 million, what does the case say about the state of diversity and inclusion in wealth management?

Firms that master this delivery model can continue to use it long after the pandemic is over, writes David Israel.

Anyone can call themselves a wealth advisor these days. Here are credentials that count.

After appointing the committee and starting a new conference series, co-chairs Fanci Worthington and Stephen Oliver are asking all advisors to get involved.

Financial advisor Hannah Moore and more than 60 presenters are expanding access to instruction and networking for aspiring and underrepresented advisors.

The change will affect continuing education immediately and certification examinations starting in March 2022.

In new academic research, experiments involving selections of YouTube videos shed light on the psychology of conflicts of interest.

The brokers are offering their practice management lessons and resources as scale becomes increasingly crucial to wealth managers.