Industry

Who's calling the Series 65 easy? | nPine/Thinkstock Colorado-based financial planner James Osborne of Bason Asset Management suggests it is too easy to become an affiliate of a Registered Investment Advisor. That’s the downside of the shift...

Wirehouses still dominate the advisory market, but registered investment advisors and dually registered channels are gaining ground. According to estimates from Cerulli Associates, RIAs will increase marketshare to 28 percent by 2018 after having...

If the financial advisors want to tap into a largely underserved market with nearly $5 trillion in investable assets, they need to rethink the way they interact with female clients, says Sallie Krawcheck. The former president of Bank of Americas’...

Raymond James changed policy and told its advisors Monday that the firm, not the advisor, would pay all of the rebates due to clients who were wrongly sold more expensive classes of mutual funds over the past five years. The change comes just a ...

Failure has emerged as a welcome teacher in other industries, but not yet in financial services. Here’s how to learn from “the other F word.”

By Suzanne Barlyn (Reuters) - In April 2011, two years before their prices sank, a slew of bond funds that were being sold by UBS’s Puerto Rico arm appeared to its brokers to be such risky investments that they balked at promoting them to their ...

There's a happy medium in the financial services industry between the wirehouses and independents--regional brokerages, which have been gaining in advisors and competing more with the RIA channel in the past three years. The reasons, according ...

Cybersecurity must be a collaborative effort between the industry, regulators and policymakers, the president and CEO of the Securities Industry and Financial Markets Association said Wednesday...