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Rhys Williams discusses the increasing importance of holistic financial planning and how advisors are adapting to meet the unique needs of different generations.
Caitlin Douglas, the head of transition services at Dynasty, details what advisors need to know about the supported independence model, tips on preparing for a move, key milestones and more.
In a new risk alert, SEC examiners stressed that firms have appropriate staffing to comply with AML regulations, especially after the wave of sanctions following Russia’s invasion of Ukraine.
John Woods already pleaded guilty to federal charges that he raised more than $110 million in a Ponzi scheme. Plaintiffs in a suit against Oppenheimer & Co. claim the firm failed to protect his clients.
A lot can be learned listening to clients’ experiences with financial advisors—good and bad. We talked to Andrea Mac, founder of Prequal, a revenue consultancy for salespeople and female company founders based in suburban Chicago.