In an earnings call, LPL's CEO said his efforts to woo Commonwealth advisors have extended to a "rain-soaked" bike ride and wine-tasting tour.
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The industry rivals could still turn to FINRA arbitration to pursue their dispute over allegedly unwarranted data breach notices Ameriprise sent LPL customers.
May 9
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Also this week, a Dynasty Financial firm picks up a $1.5B team from Morgan Stanley, Wells Fargo recruits from PNC Investments and UBS, and LPL draws from Osaic.
May 9
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For many firms, looming advisor retirements and the need to retain client households through the next generations will create difficult problems.
May 9
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Our research-driven program recognizes money managers with superior company practices, cultures, programs and benefits.
May 9
Financial Planning announces its 2025 class of the top 40 most productive employee wealth management brokers under age 40.
Financial Planning announces its 2025 class of the top 40 most productive employee brokers under age 40 at regional U.S. firms.
In an industry with too few advisors, many say the failure rate for newcomers remains disconcertingly high. But brokers on Financial Planning's top 40 under 40 list say they wouldn't be where they are without early career training.
Across the last five years of Financial Planning's 40 under 40 list, a few key insights have emerged about where the industry is at — and where it's headed.
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CEO Tony Miller thinks the financial backing Janney draws from the private equity firm KKR allows it to provide a full gamut of advisor support without losing its intimate feel.
May 8
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With billions of dollars in revenue at stake, wirehouses and broker-dealers are keeping an eye on a potential regulatory change in favor of the ETF industry.
May 8
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Morgan Stanley is among a long list of wealth managers facing questions about whether their handling of uninvested cash is really in clients' best interest.
May 7
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After joining Raymond James last year, Lynette Ancona contends she was virtually forced out of Schwab by a branch manager who tended to favor "younger, male" colleagues.
May 7
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Only two out of nine firms included the total amount of money involved in revenue sharing — a practice critics say should be ended entirely — in their disclosures.
May 7