Raymond James Stops Reporting Quarterly FA Count. Advisor count “has become a less relevant measure of strength and growth” for the Private Client Group, Raymond James said in a …

Financial services firms must establish procedures to ensure that their day-to-day operations and regulatory compliance are not interrupted in the event of a cybersecurity issue involving a third …

Jan 23, 2025 · Industry Groups Ask for Tax Break for Independent FAs. Ten broker-dealers and industry trade groups are asking Congress to include independent financial advisors in the …

1 day ago · UBS' chief financial officer says the firm expects to lose U.S.-based financial advisors as the wirehouse shifts its compensation structure in hopes of spurring profits. "In the U.S., our …

Jan 29, 2025 · Beware Outsourcing’s Security Risks, Finra Says. Financial services firms must establish procedures to ensure that their day-to-day operations and regulatory compliance are …

1 day ago · The firm is signaling that its new advice and wealth management business will cater to the low end of the market, relying on technology rather than hiring financial advisors. February …

Jan 15, 2025 · This is the fifth article of Financial Advisor IQ's five-part special report on the outlook for alternative investments in 2025. As 2025 begins, investors and advisors face a mix …

Dec 26, 2024 · Financial Advisor IQ today is looking back at the headlines that grabbed the most attention in 2024. This issue is a collection of the biggest news stories as measured by clicks …

Sep 17, 2024 · Why Edward Jones is 'Stuffing the Product Shelf' The firm is aiming to address a wider range of client needs while increasing customization and flexibility, an Edward Jones …

Hannah Glover is a Group Managing Editor at Money-Media, overseeing several asset management and governance titles including Ignites, FundFire, BoardIQ, Agenda, Financial …