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January 8, 2019
Morgan Stanley, Merrill Lynch and UBS Enforcement Action Revelations Slip Out Between Christmas Ham and New Year's Bubbly
News of enforcement actions at the wirehouses came at a time when few people are keeping up with industry affairs.
Morgan Stanley Requires Some UHNW FAs to Take 150-Hour Course
The wirehouse wants brokers catering to ultra high net worth clients to be better prepared to compete with specialty wealth management firms.
Why Financial Planning Tools Just Aren't Being Used on Robos
Platforms can enhance user engagement through AI and online chat support.
Wells Fargo Veteran Leaves for Growing Rival
The FA had been with Wells Fargo since 1994.
RIAs Expect to Grow Larger and Faster in 2019
Advisors anticipate more growth in 2019, and will offer new areas of expertise to make it so.
LPL, Charles Schwab and Ameriprise Boosted Campaign Spending in the Lead-up to the DOL Rule
Some financial industry trade groups also maximized their donations to Rep. Ann Wagner, R-Mo., the architect of legislation aimed at killing the rule.
HighTower’s Weissbluth Replaced by Fidelity and Charles Schwab Veteran
The firm has replaced the CEO with Bob Oros, according to HighTower.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|