Compensation and Fees
What leading financial advisors, experts and firms are saying about compensation and fees for registered representatives (both independent and employee) and registered investment advisors.
Some Annuity Issuers Want to Sell Riders. Really.
By Allison BellNow that the tools are back in stock, advisors and agents need to ensure clients are using them properly.
June 08, 2026
Cetera Hit With Class-Action Suit Over Cash Sweep ProgramThe BD paid interest rates as low as 0.06% as the federal funds rate surged, the suit says.
June 04, 2026
Rep in Hot Water Over Annuity Rider, Reverse Mortgage RecommendationsClayton K. Shum also engaged in undisclosed outside business activities and disclosed clients' personal information, FINRA states.
June 04, 2026
Here's How Much Financial Planners Earned in 2025An annual compensation study shows that CFPs are earning more and are happy in their jobs.
May 14, 2026
Corient Acquires $7.8B Capital AdvisorsThe firm's principals will become Corient partners upon closing, expected later this quarter.
May 12, 2026
The Big Question Looming Over Bonuses This YearComp experts predict one of two outcomes: market momentum drives modest increases, or a big shock drains bonus pools.
May 04, 2026
Average Yearly Financial Planning Fee Surges 52% in 3 YearsFlat fees have risen by 15% since 2023, Envestnet reports, while subscription fees have reached $595 per month.
May 01, 2026
Cambridge Fined $200K for Failing to Quash UIT TradingA rep's costly recommendations violated Reg BI, a FINRA order states.