Raymond James Financial said it is moving its registered investment advisor unit out of Raymond James Financial Services, its IBD division, and setting it up as a separate division with its own president. The new president, Bill Van Law, said t...
Since 2009, Build America bonds have given yield-starved investors a bit of hope for their fixed-income portfolios. These subsidized munis may continue to be good options, if you understand the risks.
Lincoln Investment Planning, an independent broker/dealer in Philadelphia, announced it will acquire independent broker-dealer Capital Analysts from insurance firm Western & Southern Financial Group. The move will add some 250 advisors to...
In post-recession America, greed is out. Clients are more open to thinking about values along with profits. So it’s not a surprise that so-called “socially responsible investing (SRI)” funds have grown at a faster rate than assets in the broader...
As fee-based accounts grow, financial advisors are getting more involved in picking investments. It may seem counter-intuitive, but this gives them more time to bring in new clients and build relationships.
New rules on state registration, Form ADV and charges for audits have plenty of smaller dually registered reps rethinking the hybrid advisor model.
