Practice

If it's not uniform, and it's not a fiduciary standard, then it is at best a modest step forward, investor advocates say.

It appears the regulator bought into the investor choice argument of sales reps right from the beginning.

New rules recognize the fact that commission-based transaction services can be the most cost effective way for Main Street investors to receive financial advice.

The wirehouse recently reported advisor headcount shrank by 258 advisors year-over-year.

Books can be great marketing tools, but also time consuming.

The downward trend in the supply chain is already prompting major changes, and it could soon spill over to advisors’ practices.

The RIA grabs an UHNW firm with trust services in a lucrative market while also targeting midsized firms.

New rules would set standards of conduct for brokers, require new disclosures and offer interpretive guidance for fiduciary advisors.

A Roth IRA is an excellent savings vehicle for older people as it is for younger clients.

Dennis Zank will continue to be affiliated with Raymond James as a financial advisor.