Frances McMorris

The tools are essential to enhance client interaction and help the operations staff.

Tim Ryan says focus should be on moving forward with Dodd-Frank and addressing the fiscal cliff.

Advisors can calm clients who wanted a Romney victory.

The uncertainty has vanished with the re-election of Barack Obama as president. But the incumbent who won a second term last night still has a number of problems that he continues to face – from a sluggish economic recovery, a huge deficit, a stubbornly high unemployment rate and of course, the fiscal cliff.

As Hurricane Sandy bears down on the East Coast, people in the path of this storm are preparing, but are they prepared for its aftermath, when the life and property damage has to be assessed?

Mitt Romney “has the momentum and nothing last night happened to change that,” said Charles Black, a Romney campaign advisor at the SIFMA annual meeting in New York.

The advisory industry has been fretting about the impending tsunami of retiring advisors in the coming years for some time. As a result, firms are assembling succession programs as a way to ease the transition of client assets from older advisors to the much younger set.

Firms come and firms go, but there has to be a bit of nostalgia for Smith Barney.

It's the end of an era. Morgan Stanley announced its U.S. wealth management business, Morgan Stanley Smith Barney, has changed its name to Morgan Stanley Wealth Management.

Firms need to foster real loyalty between themselves and their investor-clients, especially if advisors continue to leave, says Arthur Levitt, the former chairman of the SEC.

The Robinson Reuter Group brings $250 million in assets under management to RBC's La Jolla, Calif., office.

Artnet Analytics launches online indices by individual artist and category to educate advisors with clients who are collectors

It looks as if the BRICs have seen their best days, but what's next?

“SIFMA’s views are not supportable and would make a mockery of the fiduciary standard,” according to The Institute for the Fiduciary Standard in a letter to the U.S. Securities and Exchange Commission.

The March survey of fund managers found that 23% of investors expect a stronger global economy during the next 12 months.

Raymond James clears one hurdle in getting early termination of the waiting period in connection with the $930 million purchase of Morgan Keegan

University of Chicago Professor Emeritus Marvin Zonis had harsh words for this year’s slate of presidential candidates, including the incumbent, as he touched on geo-political and economic hot spots for 2012, a year in which 11 nations representing more than half of the world's GDP by purchasing power parity per capita will be selecting their next leaders.

Our annual recruiters roundtable: dissatisfaction in the ranks and the end of blind loyalty translates into advisors on the move.

Some of the reported 1,600 cuts will come from the wealth management unit, but financial advisors will be spared.

FINRA also orders the firm to make restitution for not providing breakpoints on unit investment trust sales and for unsuitable sales of reverse convertibles to older customers.