Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
What Annuities Can Do for Retirees That Traditional Fixed Income Can't
By John ManganaroAnnuities are far more efficient at generating income than a traditional fixed income portfolio, David Lau says.
October 31, 2022
Penny Pennington Elected to FINRA Board of GovernorsFrom the enforcement of Reg BI to the implementation of new CE requirements, it's a busy time for FINRA.
October 31, 2022
Ex-Broker Sentenced to 20 Years in Prison Over Ponzi SchemePerry Santillo's 20-year sentence will run concurrently with a 17.5-year sentence he already faces.
October 28, 2022
Penny Pennington Leads Edward Jones Into Its 100th YearEdward Jones faces tremendous opportunities, Pennington tells ThinkAdvisor. Yet there are challenges to surmount, as well.
October 28, 2022
Schwab Sets Date for TD Ameritrade Platform ConversionSchwab's Tom Bradley also said most TD Ameritrade advisors will be able to keep their service team.
October 28, 2022
Recession-Proofing Your Clients' Retirement PortfoliosAdvance planning is the only real way to mitigate the pain of a market downturn and recession for retirees.
October 28, 2022
5 Questions to Ask Before You Switch FirmsMoving in this market could be tough, but it still might be the best option for some advisors.
October 28, 2022
Execs Blast SEC's RIA Outsourcing Rule Plan as 'Solution in Search of a Problem'Forcing new vetting requirements on RIAs would be unnecessary and would increase costs, execs including Riskalyze's Aaron Klein said.