Industry

When faced with a regulatory challenge, advisors can’t be afraid to question authorities.

Growing firms need professional management, but chief operating officers with advisory experience are hard to find.

An unknown number of test-takers viewed results online showing that they had passed, when their results were still under review.

The giants have traditionally bought out the newcomers.

It’s another high-profile addition for the firm led by ex-Morgan Stanley executive Greg Fleming.

Macroeconomic trends and matters of convenience will move advisors, assets and markets next year in the ever-changing wealth management space.

Six major trends to watch next year include M&A and the breakaway broker movement.

It’s the latest losses for the wirehouse, which has suffered from advisor attrition.

Advisors share the individual presents they send investors for the holidays.

The regulator details numerous (and familiar) compliance failures in its annual summary of exam findings.