Tag: Broker/Dealer

Interviews with nearly 1,000 independent advisers who custody assets at Schwab show significant optimism about growth opportunities for registered investment advisers. 

“This is hardly the first time regulation will change the way advisers get paid and disclose important information to clients,” one industry executive observes, “so in that respect...

A given financial adviser’s response to the final fiduciary rule from the Department of Labor may have more to do with the adviser’s brokerage platform provider than their...

NFP Advisor Services to rebrand as Kestra Financial; Arnerich Massena announces new CFO; Pentegra Retirement Services names regional director for upper Midwest territory; The Retirement Advantage adds sales...

Cetera Financial Group has finished developing its retirement plan solutions platform for advisers.

About three-quarters of advisers in a Fidelity survey are anxious the DOL fiduciary advice rule will affect how they do business.

FINRA highlights the success of its recent compliance efforts in a new report, while signaling the beginning of a process to modernize and update its membership application process. 

Voya Financial Advisors expands adviser services with an Advanced Planning Program.

The Department of Labor’s new fiduciary rule will be very hard to reverse once in place—even if Republicans take the White House.

Following a sit-down with one SEC commissioner, CEFEX leadership predicts the regulator will propose new requirements for third-party advisory practice reviews before the close of 2016. 

Broker/dealers urged in FINRA letter to define and strengthen their firms’ ethical business practices.

Industry consolidations and acquisitions aren’t likely to slow in 2016, experts note, and the announced acquisition of AIG Advisor Group by a private equity firm only strengthens the...

A DALBAR training program anticipates the best interest contract (BIC) exemption.

Among the many business units of the stressed RCS Capital Corp. is Cetera Financial Group, which provides investment and brokerage services for a significant number of U.S. retirement...

U.S. financial adviser headcount increased a little more than 1% in 2014, Cerulli finds.

Wealth Management Systems Inc. adds its capabilities to the Cambridge Investment Research retirement platform.

The Retail Investor Protection Act is likely to be vetoed by the White House.

Most financial advice professionals feel “daunted by the task of forging their own path and the accompanying headaches,” according to research by Cerulli Associates.

PlanMember Financial Corporation says it will “ally” with Washington-based Interpacific Investors Services Inc., a national marketing and distribution firm.

The choices for retirement plan advisers to find support in the form of home office are increasing.