Practice

FINRA has hired Robert Colby as its chief legal officer, replacing the broker regulating body's general counsel, Grant Callery, and its general counsel for regulation, Marc Menchel.

At the NAPFA National conference, a panel of advisors of varying ages, discussed how they have succeeded with the tricky task of planning and executing a succession.

The Hartford is expanding its defined contribution platform with a trio of new managers and a slew of funds for retirement plan sponsors and participants.

Benjamin F. Edwards & Co. has opened of a new branch in the Portland, Ore., area staffed with a new team led by a former Wells Fargo financial advisor.

Younger members of ultra-wealthy households are grappling with their forebears for a say in wealth planning, and women are concerned about how money affects their relationships.

RBC Wealth Management has expanded its Illinois force with the hiring of a mother-daughter financial advisor team from Merrill Lynch and another female financial advisor from Wells Fargo.

Banks and credit unions looking to increase revenue from investment programs should hire more advisors, according to PrimeVest’s latest research. But existing advisors won’t welcome such a move.

Jeff Wolk, together with registered sales assistant Lillian Marini, has formed the Wolk Group of Raymond James.

The Hartford is expanding its defined contribution platform with a trio of new managers and a slew of funds for retirement plan sponsors and participants.

The tragic apparent suicide of former NFL superstar Junior Seau serves as a reminder to advisors that many of their clients will need more than just investment advice and guidance after they’ve retired.