Check out the trends from the past five years across the brokerage firms
Advisors who responded yes to “Are you a member of a team?” (with all team members defined as registered financial advisors) from 2018 to 2022
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Firms are investing in technology but also must consider advisor training
Many advisors question how effectively their suggestions are acted upon
Advisors worry about hacks to client data, but also about human error
Offering generic or limited practice-building tools can lead to displeased advisors
Proposal would give executors more time to implement loss carryback strategy
Advisors appreciate dealers that keep them informed and help them support wealthy clients
Industry at odds with CIRO’s proposals on maximum penalties and dispute resolution
The appointment is effective Sept. 23