Practice

The beginning of the year is a great time to handle many estate planning tasks. Use this to-do list with clients to give their plans a review and update.

Two wirehouse advisors generating $1.3 million in annual revenues joined RBC Wealth Management.

One of the first new investments from parent company RCS Capital will become available to all nine – and eventually 11 – IBDs by May.

For vendors in the data security realm serving asset managers, banks and other financial institutions, the Morgan Stanley data breach incident serves as a reminder of the greater roles they now have.

Clients can lengthen their long-term care insurance policy's elimination period, making the coverage more affordable; Plus, deciding whether a Roth or traditional IRA is right for your client.

The regional broker-dealer lands three new recruits for its employee channel, including one who managed more than $100 million AUM.

FINRA banned a rep for allegedly forging a customer's signature on bank withdrawal slips, a move that allowed the customer's sister to steal $3,900 from the customer's account. Two others were suspended for relatively minor infractions.

The asset management firm made the new hires during a recruiting push in the last quarter.

Focus partner firms managed $31 billion and advised on another $10 billion, according to their recent ADV filings -- considerably less than the $70 billion in "total client assets" the firm had previously publicized.

Two Merrill Lynch advisors left the wirehouse for independent firm Snowden Lane Partners.