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April 9, 2019
In the Middle of its “Rough Patch,” Here’s How Consumers Rate Wells Fargo Advisors
Clients like WFA because it shares their values, survey says.
Here are the Clutch Moves to Ensure Client Wealth Transfer Keeps you in the Picture
Clients want to engage in financial education on their own time.
Merrill Lynch, Raymond James and Wells Fargo All Lose FAs to This Rival
Several advisors collectively managing over $1.1 billion jumped ship to Stifel.
Warren Buffett Reveals Strong Views on Next Wells Fargo CEO
Hiring a Goldman Sachs or JPMorgan veteran would “draw the ire” of lawmakers, Buffett tells the Financial Times.
JPMorgan Has Huge Growth Plans for its Advisor Ranks
The firm had around 5,500 advisors as of 2016.
Finra Fines and Suspends Ex-LPL Broker Over Viatical Settlement
The broker allegedly participated in a private securities transaction via a viatical settlement, against LPL policy.
Deutsche Bank’s Wealth Unit Reveals Big Plans to Win UHNW and Family Office Clients
Dan Kaiser will served as the new unit's regional head in the Americas.
State Insurance Official Fired After Arguing an FA Should be Barred
Case highlights how regulators and arbitrators can come to different conclusions about broker conduct.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|