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Morning Brief: Ken Fisher’s Loose-Lips Toll Tops $2 Billion
Top stories from around the web. Read More The post Morning Brief: Ken Fisher’s Loose-Lips Toll Tops $2 Billion appeared first on AdvisorHub.... Read more » Does the world need another custodian?
Velox is just one of several new, digital-first custodians to hit the scene recently.... Read more »- Roper Fields, Thomas Fields and B.V. Lawson join employee unit in Cool Springs, Tenn.... Read more »
- A new law helps people determine what happens to their digital assets after they die, but the law's provisions only apply if... Read more »
- The company believes the move will help advisers compete for business.... Read more »
- U.S. advisory account holders won’t pay an additional management fee for separately managed accounts from UBS’s asset management unit. Read More The post... Read more »
- Boca-based Robert Marton and John Bute have joined Lido Advisors, headquartered in Los Angeles.... Read more »
- New Hampshire’s state pension pulled its $239 million invested with Ken Fisher, bringing the total amount divested from the billionaire’s firm to... Read more »
- In a seven-page FAQ, the agency takes a hard line on 12b-1 fees.... Read more »
- Its announcement brings the amount divested from his firm to more than $2 billion.... Read more »
- Why did you get into the wealth management business? My father worked for a law firm his entire career serving… Read More The... Read more »
- Some strategies work better than others, but low portfolio turnover is a good predictor of potential tax consequences.... Read more »
Charles Schwab & Co. brings 'start-up'-style disruption to the $20 trillion mutual fund industry by zeroing out free fractional-share trade ticket charges
'We are on the offense at Schwab,' says San Francisco-based CEO Walt Bettinger, who may be leaving his own firm's margins undefended... Read more »- Employers will be able to default participants into receiving their plan disclosures electronically.... Read more »
- Bratton DuBose, Daniel Bettencourt and Rebecca Damann join Ashton Thomas Private Wealth in Bozeman, Mont.... Read more »
- Swiss bank’s 6,620 American advisors—down 283 from a year ago—improve flow of net new client money to flat from outflows of $2.6... Read more »
- Craig Stiles, Gregory Miller and Nathan Clark join employee unit in Lansing, Mich.... Read more »
- U.S. Bancorp is eliminating thousands of branch workers as it adjusts to changing customer preferences, according to a person briefed on the... Read more »
- More than half of the world’s banks are already in a weak position before any downturn that may be coming, according to... Read more »
- Deals during the first nine months of 2019 have already surpassed the total for all of 2018.... Read more »
NEWS
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How Should We Serve Clients As “Behaviorally-Enlightened” Fiduciaries?While there has been ongoing discussion at both the Federal and state levels of how a fiduciary standard should be defined from... Read more »
Stifel Brings on $800M, Opens New Office
The chickens are coming home to roost. Wirehouses like UBS, Morgan Stanley and Merrill Lynch have mistreated brokers for years. Now the... Read more »
Bank of America announced that Merrill Edge’s self-directed program will offer unlimited commission-free trades of stocks, ETFs and options for self-directed clients... Read more »
How to Communicate Your Value Proposition
I recently took part in Commonwealth Financial Network®’s National Conference, where I was asked to present on a topic related to adviser... Read more »- #FASuccess Ep 147: Developing Next-Generation Advisor Talent With An Internal 2-Year Mentoring Program, with Jeff Dobyns
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Welcome back to the 147th episode of Financial Advisor Success Podcast! My guest on today’s podcast is Jeff Dobyns. Jeff is the... Read more » Insecure about blogging? Write a letter
Some people feel they shouldn’t blog. They hesitate because they don’t have novel topics, or they feel their writing isn’t good enough.... Read more »- Scaling The Efficiency Of Comprehensive Financial Planning By Creating Repeatable Expertise
In the early days of being a “financial advisor” at a broker-dealer or insurance company, having ’expertise’ meant being well-trained on the... Read more »
- Weekend Reading for Financial Planners (Oct 19-20)
Enjoy the current installment of “weekend reading for financial planners” – this week’s edition kicks off by diving into the big industry... Read more »
The Securities and Exchange Commission today announced that it has voted to propose rule amendments to establish an expedited review procedure for... Read more »
Ameriprise's recruiting streak continues, with the onboarding of nine new advisers.The firm's hiring efforts have boosted headcount to 9,951 advisers for the... Read more »
The Securities and Exchange Commission and Morehouse College will co-host a panel discussion on strategies to attract investment capital to minority businesses from... Read more »
- FPA Selects Largest Corporate Sponsor As First Ever Vendor Representative To Become National Board President
Over the past year, the Financial Planning Association (FPA) has been no stranger to controversy. After years of declining revenues and membership... Read more »
SEC Wins Judgment Against RIA and Permanently Bars its Principal for “Cherry-Picking” Scheme
In a recently-announced administrative proceeding, the SEC has entered a permanent securities industry bar against Joseph B. Bronson, effectively preventing Bronson from... Read more »- Say a client has been overspending on his credit card. You have a chat about it, and he leaves your office, assuring... Read more »
The Securities and Exchange Commission today issued a statement that invites exchanges and other market participants to submit innovative proposals designed to... Read more »
