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.
FINRA Fines Advisor Over Undisclosed Tax Consultancy Referral Fees
By Dinah Wisenberg BrinShuai Wang failed to timely and accurately inform Cambridge Investment Research about the fees, an order states.
June 11, 2026
12 States Where Advisor Income Grew the Most in 2025Of the 40 states with available data, SmartAsset reports, all but 11 saw advisors' median income increase.
June 09, 2026
SEC Warns Advisors on Conflicts in Cash Management, FeesA new risk alert points to deficiencies found during advisor exams.
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.