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There are five roles on the career path to becoming a financial planner: analyst, associate advisor, service advisor, lead advisor and partner, according to the CFP Board.
A FINRA arbitrator found that a broker at RBC Capital Markets offered misleading information about the investments made on behalf of an 80-year-old retired secretary and ordered the firm to pay $50,000, plus interest.
The family office model has found new life in the independent space, where the ability to deliver customized solutions is drawing top advisors—and their high-net-worth clients—out of the wirehouses.