Broker Check
Advisor Group Rolls Out Updated UMA Platform
Advisor Group says its enhanced unified managed accounts platform is now available to all financial professionals affiliated with its broker-dealers, including those recently acquired from Ladenburg Thalmann. The updated platform lets advisors actively manage a portion of a client’s assets in a “Representative as Portfolio Manager” format and gives them access to some 7,000 mutual funds and exchange-traded funds, 1,000 separately managed accounts and 200 model portfolios, the firm says.
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Advisor Group Goes Live with Reg BI-Oriented eQuipt Enhancements
Advisor Group is giving it’s 10,000-strong advisor workforce a leg up in complying with the SEC’s Regulation Best Interest (Reg BI). The Phoenix-based broker-dealer network introduced on Thursday eQuipt Dashboard, an enhancement designed to assist advisors in complying with Reg BI.
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4 Ways to Firm Up Your Continuity Plan, Now
Follow these simple steps to make sure your business is prepared, both for the pandemic and for the future.
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Advisor Group Expands Coronavirus Response Resource Center
Advisor Group, a network of independent wealth management firms, has expanded its coronavirus response resource center, a platform of services that helps financial professionals manage their businesses during the current COVID-19 pandemic and ensuing market disruption. Due to the widespread nature of the pandemic, Advisor Group is making many of the features of its coronavirus response resource center available to all financial professionals across the industry.
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When Suits Give Way to Sweatpants: New Work-from-Home Cyber Risks
Jason Lish, chief information security officer for Advisor Group, says “there is increased risk with blending personal browsing activity on company devices and networks, as many employees are not accustomed to working full time from home.” Advisor Group, like many other businesses at this time, has increased their security awareness reminders, giving advisors tips on things like how to secure their home networks and webinar calls, says Lish.
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Advisor Group Deepens Senior Leadership Team to Drive Next Phase of Growth and Long-Term Success for Financial Professionals
Continuing Momentum from Recently Completed Merger with Ladenburg Thalmann, Management Team Encompasses Executives from Both Companies. Names Seasoned LPL Financial Executive Gregory Cornick to Newly Created Role of President, Advice and Wealth Management; Securities America's Gregg Johnson Named EVP of Recruiting & Revenue Acquisition. Cindy Hamel Promoted to Chief Strategy & Corporate Development Officer; Matthew Schlueter Named President, Products and Platforms.
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Advisor Group Announces Completion of Merger with Ladenburg Thalmann Financial Services to Create Industry's Largest Network of Wealth Management Firms
Transaction Expands Advisor Group's Industry Leadership, with Approximately 11,300 Affiliated Financial Advisors and Over $450 Billion in Client Assets. Company Reaffirms Commitment to Multi-Brand Network Model Delivering Benefits of Both Scale and Personalized Service to Financial Advisors.
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Advisor Group Announces Successful Conclusion of Its 14th Annual W Forum Event in Los Angeles for Women Advisors and Assistants
Features 2nd Annual W Forum Visionaries Series of TED Talk-Style Presentations by Leading Female Advisors, as well as Women Forward Mentorship Program and Interactive Session to Help Attendees Prepare for Reg BI. Event Features Diverse and Innovative Array of Women-Focused Networking, Team-Building and Educational Opportunities to Support Attendees' Long-Term Career Growth.
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Protecting Practices One Deal At A Time
Most succession deals can easily fall apart for three reasons: the seller can’t find the perfect candidate; the deal is too hard to make; and/or the deal becomes too time consuming to close, particularly in cases when an advisor makes a sudden and unexpected exit from his or her practice.
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What Financial Advisors Should Expect With Reg BI On The Horizon
Reg BI implementation is less than a year away, and it is arriving at a time when investors are increasingly clamoring for more open and transparent financial advice. Certainly, you could view these coming changes as a threat to the status quo. But disruption is often what keeps businesses thriving, relevant and healthy.
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Advisor Group Concludes 21-City Executive Town Hall Series Centered On Face-To-Face Discussions With Advisors
Firm's Senior Leaders Address Top-of-Mind Subjects for Advisors, Including Recent Acquisition by Reverence Capital, Reg BI and Cybersecurity
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The Need For Overhauling Cybersecurity In A Post-Reg BI Landscape
The recent passage of Reg BI comes at a time when the advisor-client relationship is already becoming more collaborative, open and transparent. The future of advice will be one in which clients are empowered by technology to work with their advisors to take further ownership of their financial lives.
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