Practice

Independent advisors can get overwhelmed with all the tech options. Are fintech partnerships helping?

The No. 1 IBD requested that other variable writers “contractually reaffirm their commitments to protecting trails,” an executive says.

Many Americans affected by the partial government shutdown are tapping their retirement savings and taking other financial options.

By allowing disciplinary actions to be expunged from certificants’ records, the board is sabotaging its own efforts to raise industry standards.

An uptick in retirements dampened the firm’s efforts to expand its brokerage ranks.

Royal Alliance must pay more than $2.5 million to one ex-client while dealing with charges against the firm and a former rep by William Galvin’s office.

A planner becomes a certified foster parent and grapples with loss when the child he has fostered is adopted by another family.

In many ways, the restricted application is similar to the old file and suspend strategy, which was disallowed in 2016. However, there is one big difference.

The teams are led by brokers who’ve been featured on Barron’s and Forbes’ advisor rankings.

Boundaries and blind spots: Two advisors have a no-holds-barred conversation about working with clients of different genders.