Portfolio

Investors are advised to do a Roth conversion before year-end to make the most of the federal tax deduction for state and local income taxes, which could disappear next year.

The broker engaged the client in 11 private securities transactions involving private equity and debt securities in companies spanning a wide variety of industries, FINRA alleged.

Technology has transformed the industry, but personal relationships are still crucial.

Exclusive: The No. 4 IBD unveiled a new bank-based team even as its competitor began revealing its retained firms under the acquisition.

Dec. 18: The proposed active offerings are set to debut in February.

The fund provides exposure to companies associated with cannabis, alcohol and tobacco.

Data reported by the Investment Company Institute.

Brash and bumbling? Or genuinely caring? Truth and fiction are blurred in depictions of planners in movies and TV shows.

“Ozark,” “Ballers,” “The Wolf of Wall Street” and “Trading Places” are fun to watch, but they bear nearly no resemblance to the day-to-day work of financial advisors.

The seven new hires joined both the independent and employee channels.