Industry

Stifel says the fact that it owns a bank — instead of being owned by one — is a big appeal in recruiting.

Personal exemptions may be lost but households can expect higher savings from the child tax credit, an advisor says.

Among FINRA’s findings, it said the broker-dealer “unreasonably excluded” some employees who were handling customer accounts from email scrutiny.

There’s a powerful source of income hiding in your client’s home.

H. Beck’s incoming president brings experience with her new firm’s earlier ownership structure and its custodian's platforms.

“My clients are hard-working young professionals on Wall Street. I don’t have a lot of good news for them,” said Douglas Boneparth, an advisor in New York who counsels people throughout the industry.

The Landmark Group ditched the large firm for Fieldpoint Private, a boutique firm with 28 advisors.

The alleged failures stretched over a two year period, according to the regulator.

The widow argued that her advisor failed to confer with her about the investment strategy he and her late husband developed prior to her husband's sudden death.

Advisors are jumping to firms with established infrastructure.