NorthStar Financial Services, as it’s known today, grew out of Patrick Clarke’s vision to build a small financial planning firm in Omaha, Neb. in 1975...
If your firm isn't taking reasonable precautions to protect client data, you could face enforcement action. While there are not specific regulations around cybersecurity standards, the Securities and Exchange Commission and the Financial Industry...
How This Survey Was Conducted: Between April 16-30, 2015, WealthManagement.com emailed invitations to participate in an online survey to print and web subscribers and advisors in the Meridian-IQ database across all advisor channels. By April 30, a...
Many investors don’t know what the Financial Industry Regulatory Authority’s BrokerCheck website is, but that’s about to change. FINRA launched a national ad campaign Monday to bring more awareness to the site, where investors can access info...
Despite industry efforts to get more women into the industry, the ranks of financial advisors are still dominated by men. (Females accounted for only 21 percent of the respondents in our recent 2015 Compensation Survey.) But, perhaps more overloo...
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Investment bank Stifel Financial Corp (SF.N) is in advanced negotiations to acquire Barclays Plc's (BARC.L) U.S wealth management unit, according to three people familiar with the situation...
