Andrew Welsch

Expenses are rising, but revenue is flat as the regulator holds off on raising member fees.

The advisors joined the firm's recently opened office in Flint, Michigan.

The firm also reported that its advisor ranks were up 2% year-over-year, boosted by its training program.

They were previously part of a team that oversaw $2 billion in assets.

On Wall Street unveils its annual ranking of successful young planners.

On Wall Street continues its unveiling of its annual ranking of successful young planners.

In On Wall Street's annual ranking of successful young planners, who made the cut?

The group, which oversaw approximately $300 million in client assets, joined the firm's independent broker-dealer.

To get in on hot IPOs, a client delivered cash payments to the broker at bars and restaurants, the regulator alleges.

In a concession to the advisor, he can still respond to client emails and calls, even though he may not initiate contact.