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Since 1999, the SEC has allowed fee-based brokers to give investment advice as long as that advice is “incidental” to executing trades. Financial planners say that these brokers are providing more than “incidental” advice.
The SEC regulates brokers under the 1934 act and investment advisors under the 1940 act.
UBS is reducing pay substantially for sub-$750K producers and making smaller reductions for advisors on the higher end of the scale.
The founder of Mitlin Financial said he has enjoyed the transition away from paper documents, traditional business cards and choosing each piece of his technology stack.
Brendan Krebs moved into the top recruiting role in January with a pledge to bring in advisors for Wells' wirehouse, bank-based and independent channels.
A new study shows how the estate planning work of financial advisors carries a direct connection to reducing disparities over time.
The financial services giant lets wealthy clients pick and choose things like assistance with cybersecurity, alternative investments and estate planning.
Not every investor is expecting a Trump boom. Some expect a crash. How should they adjust their finances — if at all?
