Industry

When financial planners launch a firm, success hinges on knowing how to run a business.

Two Merrill Lynch veterans who generated about $1.6 million have left the wirehouse for Raymond James & Associates.

UBS is shaking up its wealth management executive ranks, bringing in Paul Hatch as group managing director, in a move that the brass says will better serve advisors and clients.

In cases heard by an SEC administrative law judge or a FINRA hearing panel, a study finds, 46.7% of broker-dealers, advisors and registered reps succeeded in getting charges dismissed or lowering the sanctions imposed.

Whether you're selling right now or next decade, there are many ways to make any solo practice appeal to buyers.

Morgan Stanley has lost two advisor teams that managed more than $400 million in assets.

Emboldened by a newfound sense of what their investment programs offer, more banks are turning to wirehouses for recruits.

Morgan Stanley is reshaping its executive ranks, appointing new heads for its private wealth management business and capital markets.

'The robo-advisors worry us,' said Rush Benton of CapTrust Financial Advisors at a panel on firm valuations.

Hoping to catch the baby boomer retirement wave, Merrill Lynch unveils a new approach to financial planning.