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.

The change builds on earlier policy shifts at Ameriprise, which previously pulled more than 1,500 funds from its platform.

Nearly two dozen mega teams switched employers, but few went to a wirehouse.

The UBS advisor switched firms before his old employer officially exited the Broker Protocol.

The former broker met some of his roughly 60 victims through his associations with the NFL and the University of Virginia, where he also played football, federal prosecutors said.

The firm also opened a new branch office in Flint, Michigan.

An industry veteran is among the crowd of talent departing firms that have exited the Broker Protocol.

Some of the new recruits joined from Morgan Stanley just prior to the firm's Broker Protocol exit.

'Tis the season to remind your clients you're thinking of them. Steal one of these great gift ideas from planners.

Morgan Stanley and UBS's exit from the accord spurred a number of advisors to move up their planned career changes.

Brokers who shed small accounts and focus on larger clients could earn a higher payout.