Industry

Advisors must make several key business decisions to go independent, says Shirl Penney, founder of Dynasty Financial Partners.

As a FINRA task force is scheduled to review the regulator's arbitration process, critics are charging that firms are using U5 termination forms to sully advisor reputations.

The CEO of one of the largest planning firms makes his own estate planning move.

RBC Wealth Management-U.S. announced Friday that it has recruited Roger Rath from Janney Montgomery Scott as a senior vice president and financial advisor for its Annapolis, Md., office.

When work isn't perfect, advisors should seek change, but be flexible about it. Here's how to get started.

An FA Insight study finds that RIA firms' strategic plans lack accountability, smart metrics and proactivity.

The advocacy organization for personal financial planning announced on Wednesday that Seneca Financial Advisors CEO Joseph Votava Jr. has been elected to serve as its 2015 chair-elect.

Described by authorities as a con man, an advisor with a troubled past is ordered to repay $4.2 million in restitution; will serve sentence in a medium-security prison.

Stifel Nicolaus picked up a Baird advisor managing over $170 million in assets.

Wells Fargo Advisors picked up an advisor team with $300 million in client assets from Morgan Stanley.