LPL Adds Shaw Financial to its RIA Platform
- Friday, 16 August 2013
- News Roundup
Shaw Financial Services, which has $360 million in client assets, has transitioned its custody and broker-dealer operations to LPL Financial. So reports the San Francisco Chronicle.
Read more...Advisors Fear Expanded Role by FINRA
- Sunday, 02 December 2012
- Regulatory & Compliance
Some advisors say they fear a new FINRA arbitration program for Registered Investment Advisors may allow the regulator to expand its regulatory clout beyond broker dealers, reports the Wall Street Journal.
Read more...Hybrid Advisors Quickest Growing Industry Segment
- Sunday, 02 December 2012
- News Roundup
The number of hybrid advisors, or those that are both registered as investment advisors with the Securities and Exchange Commission and as brokers with FINRA, is growing at a faster rate than the overall industry, reports InvestmentNews.
Read more...Most Read
-
-
Feb 21 2011
-
Written by Administrator
Add us to your Safe Sender list: We want to…
-
-
-
Nov 07 2012
-
Written by Administrator
Progressive Media Group Subscription Agreement This agreement states the general…
-
-
-
Dec 16 2013
-
Written by PLP Staff
The challenge of working with clients during a soaring bull…
-
-
-
Mar 09 2013
-
Written by Staff Writer
While market bulls are understandably cheering the ongoing equity rally…
-