Industry

State regulators and state legislature are stepping in to propose initiatives to protect consumers against salespeople wrapped in fiduciary clothing.

All 83,000 CFPs certification information is now published via the same technology that underlies fast-proliferating cryptocurrencies.

A one-for-all OneFPA Network is the best way forward for national and chapter groups alike, this advisor and former board member says.

The firm’s efforts to attract talent away from rivals boosted headcount by a net 57 advisors in 2018.

Under the deal, private equity-backed Wealth Enhancement Group would make its 10th acquisition in the past five years.

CEO Dan Arnold pledged new tech-enhanced support for advisors as part of a larger cultural transformation.

In a sweep of changes, the custodian is embracing an open architecture technology platform.

A psychologist or therapist on staff can help advisors connect with clients who are going through a major life event.

A new FINRA initiative to root out breaches of supervisory rules on 529 plans provoked criticism from the IBD advocacy group.

The firm suffered from market volatility in the fourth quarter.