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December 5, 2018

Wells Fargo Sheds More Talent to These Key Rivals
The recent departures oversaw more than $700 million.
Get Over It! Nothing is Perfect, Says Cetera to SEC Best Interest Critics
The firm says a survey it commissioned shows the proposed Customer Relationship Summary form is good enough.
Merrill Lynch Loses Another FA Team to This Quickly-Growing Competitor
Holmes Riley Wealth Advisors has joined Janney Montgomery Scott.
Finra Shames Advisors Who Owe Unpaid Arbitration Awards
The industry’s self-regulator has published a list of companies and representatives on its website.
LPL Makes $28 Million Purchase as Strategic Growth Play
The company’s tools will remain available as a stand-alone solution while also being offered to all of LPL’s advisors.
Nationwide Advises How FAs Can Cater to HNW and UHNW Clients
These clients’ needs and reasons for working with financial advisors are different from typical investors.
Problems Many Advisors Will Need to Solve Soon
As time changes, so does the advice industry.  Video [ 3:38 ]   Transcript