How branch-based financial advisors and planners rated their firms’ performance
This article appears in the October 2023 issue of Investment Executive. Subscribe to the print edition, read the digital edition or read the articles online.
Research by:
Aneesh Chatterjee, Emily Fox, Roland Inacay, Diane Lalonde, Alisha Mughal and Serge Rousskikh
Research editor:
Katie Keir
Click the image below to obtain a PDF of the chart.
Branch advisors say institutions aren’t adequately preparing them to use new technology
Advisors recognize the limits of a restricted shelf, but say they’re still able to serve clients
The category saw the biggest rating improvement in the Report Card
Methodology for the 2023 Report Card on Banks
FHSA holders may trigger tax when they overcontribute or hold non-qualified investments
Fund manager has no assets or insurance, lawyer says
The agency could extend reassessment period if a taxpayer is issued a notice of non-compliance
Fees to rise for most firms as minimums go up, certain dealers pay higher share