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IMCA Focusing On FAs For Growth

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IMCA is looking to independent advisors for growth while the association's traditional base -- wirehouse and regional broker-dealers -- declines.

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GAO: Double Dipping On Disability Leading to Riches For Some

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Double dipping on federal disability programs is proving very rewarding for a few.

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Great-West Financial Launches Empower

by FA Staff

The insurance firm has named its retirement business Empower reflecting a new era for plan sponsors.

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Legg Mason CEO Says Bond ‘Transition’ To Set Billions In Motion

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Legg Mason Inc.’s CEO said a “transition” of assets is under way in the bond industry, after the departure of Bill Gross from Pimco prompted investors to set billions of dollars in motion.

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American Realty Ex-CFO Forfeits $35 Million In Pay After Errors

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The former American Realty Capital Properties CFO, who resigned after the company found errors in its financial statements, is leaving behind a pay package worth $35 million.

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CNL Securities Names Four VPs To Expand RIA Channels

by FA Staff

Brandon Berry, William Cho, Michael Gatti and Holly Onachilla will oversee RIA relations in four regions across the United States.

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Independent Broker-Dealers Increased ETF Assets In Third Quarter

by FA Staff

Independent b-ds were the only financial advisory businesses to increase mutual fund and ETF assets under management in the third quarter despite the market downturn, says Broadridge Financial.

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How Financial Advisors Can Compete With The 'Robos'

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Advisors should remember that the current competitive threat is tiny, but can start to compete in a few ways.

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Schwab Impact Conference 2014

Begins November 4th Check back soon for articles

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LPL Financial Shares Hurt On Uncertain Regulatory Outlook

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An early warning from LPL that unexpectedly high regulatory costs would hurt third-quarter earnings failed to placate investors on Thursday, as shares tumbled after the brokerage firm reported actual...

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