Paul McCaffrey

Independent broker-dealer Securities America is pressing ahead with its aggressive recruitment campaign, hiring three regional directors to help attract prospective independent advisors, the firm announced Tuesday.

Kenneth R. Lench, the chief of the structured and new products unit at the SEC’s division of enforcement, is leaving at the end of the month.

To help financial services firms adhere to corporate and regulatory standards when it comes to social media communciations, Actiance unveiled review and approval capabilities to its Socialite social-media management program.

Raymond James lured six advisors with over $350 million in client assets to its independent channel, the company announced Thursday.

The acquisition comes just nine days after United Capital acquired an Atlanta wealth manager and is the latest example of the firm’s aggressive, Starbucks-inspired expansion strategy.

In an effort to expand its presence in northern New Jersey, RBC Wealth Management has added the Levy Tebeleff Group, formerly of Morgan Stanley, to its Parsippany office.

A trio of advisors from Wells Fargo, RBC and Morgan Stanley have joined Stifel.

McRary will be responsible for managing the Boca Raton, Fla.-based independent broker-dealer’s advisor recruitment and transition efforts.

The nation’s largest independent broker-dealer is partnering up to enhance its recently launched online retirement planning services platform.

Once lost, a reputation is hard to regain, and it’s costing financial services companies hundreds of millions in sales.

Following a bearish May, investor confidence shot up in June, according to the State Street Global Investor Confidence Index released Tuesday.

Financial advisors are concentrating too much of their resources on baby boomers and not enough on the next generation of clients, suggests a new report from Cerulli Associates.

It’s common knowledge that Americans aren’t saving enough for retirement. But just how large a deficit is startling.

For a majority of financial advisors, life insurance planning isn’t all it’s cracked up to be.

The National Advisors Trust of South Dakota will give National Advisors-affiliated RIAs and their clients access to some of the most flexible trust and tax statutes in the nation.

Less than a week after landing another Morgan Stanley advisor, Raymond James has lured a Midwestern group with over $240 million in assets under management from Morgan Stanley to its independent-broker dealer.

Though they face similar challenges in preparing for their financial futures, men and women think about and respond to them in divergent ways, according to research released Wednesday as part of Northwestern Mutual’s ongoing 2013 Planning and Progress Study.

Fidelity Institutional Wealth Services introduced a platform that it hopes will make mergers and acquisitions easier for registered investments advisors.

Financial advisors are setting aside their doubts and embracing the recovery.

Despite recent stock market gains, wealthy investors remain ambivalent about the economy.