J.P. Morgan Reorganizes U.S. Wealth Unit
New business houses Chase branch-based advisors, digital “YouInvest” online bankers and J.P. Morgan Securities’ 450 traditional brokers into one segment. Read More The... Read more »State regulators encourage brokerages to use insurance to fund arbitration losses
NASAA says step would help address problem of unpaid arbitration awards... Read more »- Aurora Private Wealth is based in Rockaway, N.J.... Read more »
Personal Capital keeps hiring move-the-needle executives, but the growth rate -- enviable to many -- is still pretty flat, if an IPO is in its future
The Redwood City, Calif. virtual RIA hired its third ‘growth executive’ to stoke demand... Read more »- T. Rowe Price, Fidelity, Natixis and Blue Tractor won permission from the regulator to disclose their holdings only once a quarter.... Read more »
- FOMC says current monetary policy is "appropriate to support sustained expansion of economic activity."... Read more »
- Five advisors left the Thundering Herd near Dallas on Tuesday after seven years for the “advisor-led” employee channel of Wells Fargo Advisors.... Read more »
- The measure, which seems to have stalled in the Senate, would eliminate stretch IRAs for some beneficiaries.... Read more »
- EHD Advisory Services was formerly affiliated with EHD Insurance in Lancaster, Pa.... Read more »
- The new platform automatically transfers asset to a BlackRock model portfolio in a tax-efficient manner, which the company hopes will encourage adoption... Read more »
- Measures would have to find GOP support for any hope of Senate approval.... Read more »
- At the MarketCounsel Summit, a moving discussion about the firm's founder, and what his death can teach RIAs about succession planning.... Read more »
- Where will investors turn for guidance during the next bear market?... Read more »
- Seventy percent experience anxiety over the decision, HighTower study finds.... Read more »
- Unwary older workers can face tax penalties for funding an HSA after 65.... Read more »
- Million-dollar solo practitioners bolster UBS’s U.S. ranks in Atlanta and Newport Beach, but Swiss bank loses a top Ohio producer to Raymond... Read more »
- Top stories from around the web. Read More The post Morning Brief: Markets Hold Breath as U.S. Tariff Decision Nears appeared first on... Read more »
- Having too many tech options ends up hurting their businesses.... Read more »
- United Capital's CEO says the roaring stock market and a desire to hit a 2020 deadline for sale informed the decision to... Read more »
- Wells follows Merrill Edge and an array of discount brokers in offering free trading to self-directed investors. Read More The post Wells Fargo... Read more »
NEWS
SEC Charges Founder, Digital-Asset Issuer With Fraudulent ICO
The Securities and Exchange Commission today charged a digital-asset entrepreneur and his company with defrauding investors in an initial coin offering (ICO) that... Read more »
HSA Planning When Both Spouses Have A High-Deductible Health Plan (HDHP)Since as early as 1960, our national health expenditures have been steadily increasing. The American Medical Association found Americans paid nearly $3.5... Read more »
The Securities and Exchange Commission today announced that it has obtained a temporary restraining order and asset freeze against a California solar... Read more »
Build a Better Business By Changing Your Focus
Recently, I had a coaching session with Tom Y., a financial adviser client of mine who has only been working in the... Read more »- #FASuccess Ep 154: (Re-)Igniting Your Advisor Marketing By Defining Client Avatars And Removing Impediments To Action, With Mary Beth Storjohann
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Welcome back to the 154th episode of Financial Advisor Success Podcast! My guest on today’s podcast is Mary Beth Storjohann. Mary Beth... Read more » No brevity without substance, please
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“Brevity without substance is useless.” This statement in Bryan Garner’s HBR Guide to Better Business Writing spoke to me. If you regularly... Read more »The Securities and Exchange Commission announced today settlements with former U.S. Rep. Christopher Collins, his son Cameron Collins, and Stephen Zarsky, all... Read more »
- Video
How Envestnet | Tamarac helps advisers grow, featuring Julie WilliamsFrom Schwab IMPACT® 2019, I connected with Envestnet | Tamarac SVP Julie Williams to learn about ways financial advisers are leveraging the... Read more » The Securities and Exchange Commission today announced that broker-dealer Jefferies LLC will pay nearly $4 million to settle charges of improper handling... Read more »
A Colorado stock promoter and two of his companies agreed to pay $4.2 million to settle the U.S. Securities and Exchange Commission's charges... Read more »
- The Millionaire Sweet Spot: How Large Advisory Firms Are Scaling Advice For (Better) Profits and (Faster) Growth
Since the early days of the financial advisory business, revenue models have evolved to rely less on commissions and more on the... Read more »
The Securities and Exchange Commission today announced that Sweden-based Telefonaktiebolaget LM Ericsson was charged with engaging in a large-scale bribery scheme involving... Read more »
- Weekend Reading for Financial Planners (Dec 7-8)
Enjoy the current installment of “weekend reading for financial planners” – this week’s edition kicks off with the industry news that Schwab... Read more »
SEC Issues Clarifying Guidance on New Form CRS
The SEC’s Divisions of Investment Management and Trading & Markets have issued guidance in the form of a set of Frequently Asked... Read more »The Securities and Exchange Commission today charged two former top executives of Indiana-based trucking company Celadon Group Inc. for their participation in an accounting fraud... Read more »
