Industry

From suitability and complex products to cyber-security and data integrity, where do broker-dealers start? Here's an overview of some of the areas that FINRA or SEC examinations will likely focus on at firms in the coming year.

Securities America and United Advisors have recruited Kevin Hughes, a top former Morgan Stanley branch manager, to head up their new hybrid independent wealth advisory business.

The board's plans focus on aggressive growth, increased awareness of mark and regulatory impact.

The path from administrative assistant to bank advisor is just part of Annette Martin’s story. Here, we offer more on her shift to fee business, including when not to do it.

Ameriprise reported strong earnings boosted by robust growth from the firm's wealth management unit.

If an advisor is offered 360% of trailing-12, this app will break down the details: how much is upfront and how much is doled out for various thresholds along the way. Plus, annual payout bonuses will be revealed.

For firms looking to grow, here are eight smart trends seen among successful firms.

From talking about why advisors may be missing the boat on retirement plans to regulators zeroing in on elderly client protections, here are the most notable quotes from the past week's stories.

UBS reported strong earnings for the fourth quarter, boosted by record profits from its wealth management divisions.

Seeing people come up short with the money needed for a retirement home was sad for one administrative assistant. In her new career she helps such people and produces more than $1 million a year doing it.