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How Merrill Lynch Wells Fargo Advisors are Paid in 2021
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For the first time since 2014, Wells Fargo Advisors is increasing the dollar amount of revenue a financial adviser must produce to get a higher payout, meaning advisers could see a slight decrease in monthly compensation in 2021
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FINRA Information & Broker - Check
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BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of brokers and brokerage firms, as well as investment adviser firms and advisers.
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Defining Fee-Only And Proper Use Of Compensation Labels Under CFP Board’s New Standards Of Conduct
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Defining Fee-Only for CFP – Extensive Review by Michael Kitces
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Trump DOL Throws 401k Investors To The Wolves
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Trump U. S. Department of Labor watchdogs just opened the door for private equity wolves to sell the highest cost, highest risk, most secretive investments ever devised by Wall Street to 401k plan sponsors.
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Wrap Accounts Under Fire
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Wrap fee programs—when investment advisor “wraps” a portfolio’s advisory fees and commissions into a single, all-inclusive fee—are designed to protect clients from churning.
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Why AUM Fees Still Make (Im) Perfect Sense
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Back in the mid-1980s, a prominent financial planner (whose name escapes me) used to call it ― the dirty little secret of financial planning. He was referring to the fact that financial planners almost never got paid for doing financial planning — an observation that is still true today.
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SEC Exam Chief Sends Warning On Wrap Accounts
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Andrew Bowden of OCIE also provides update on OCIE’s never-examined advisor initiative.
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National Association Of Fee Only Advisors Questionare To Use For Choosing A New Advisor
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The NAPFA Comprehensive Financial Planning Diagnostic: Helping consumers understand what comprises truly comprehensive financial planning.
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Smith Barney agrees to pay $50M in suit
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Smith Barney has agreed to settle a class action alleging that the firm loaded up customers of its broker-managed fee-based accounts with stocks of investment banking clients.
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Representives Advisors Value Based On Production Numbers
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Defection of top team could trigger ‘shock waves’ at Merrill: Recruiter.
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