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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Check out the trends from the past five years across the brokerage firms
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
Group seeks revisions to U.S. state rule that match SEC's Reg BI reforms
Panel dismisses call for stronger deterrence given risks posed by crypto, social media
The move is expected to reduce delays, simplify the banking complaints system