Independent advisors

When faced with a regulatory challenge, advisors can’t be afraid to question authorities.

Macroeconomic trends and matters of convenience will move advisors, assets and markets next year in the ever-changing wealth management space.

The representative had already been permitted to resign and suspended by state regulators, but the firm lost its case for additional damages.

The broker-dealer has also appointed a new northeastern regional director for its independent contractor division.

Ameriprise scores big in its latest round of recruiting.

With 27,000 advisors on the move this year in wealth management, the industry remains in a period of flux.

Planners are overwhelmed by options and wary of expensive solutions that don't do what's promised.

The executive argues the firm’s ownership structure is giving it a leg up — rather than posing the issues for advisors decried by critics.

Executives say valuing friendliness alongside other factors is helping to drive a record $66 million in incoming production this year.

The firm has seen a number of planners exit in recent months.