Browsing Tag
401(k) Broker-Dealer
10 posts
TAG Advisors Launches ‘Private Label’ PEP
TAG Advisors, one of the largest and fastest growing branches within Cambridge Investment Research, Inc. with more than…
Coronavirus Leads FINRA to Push Business Continuity Plan Prep
Coronavirus seems to be impacting everything, which is why broker-dealer industry self-regulator FINRA is encouraging member firms to…
Fixed Indexed Annuities: Record Sales in 2019, Again in 2020?
Despite a rough fourth quarter, 2019 turned out to be quite the banner year for fixed indexed annuity…
RIAs Top-of-Mind in SEC’s Just-Released 2020 Exam Priorities
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) today announced its 2020 examination priorities,…
Advisor Group to Buy Ladenburg IBDs in $1.3B Deal
Advisor Group is buying Ladenburg Thalmann Financial Services in a $1.3 billion deal that will create an independent…
Consumers Trust ‘Advisors’ More than ‘Brokers’
The professional titles that financial advisors use really do matter to consumers, according to a new study that demonstrates…
Generational Crisis in Financial Advisors: A Major Concern
Advisors are old and it’s a problem. So much so that J.D. Power claims it’s a full-blown “generational…
N.J. Proposes ‘Tougher than Reg BI’ Fiduciary Standard
New Jersey’s Bureau of Securities followed through on stated intentions to create a uniform fiduciary standard for broker-dealers…
Hybrids Are Happening: What’s New with Wirehouse to RIA Advisor Exodus?
All or nothing; can’t be half-pregnant—the clichés don’t appear to hold for the RIA space, and the hybrid…
Broker-Dealers Under Fire from Variety of Sources
We all know it, Cerulli solidifies it. The latest report from the Boston-based research and consulting firm names…