Independent advisors

An ex-executive with a firm acquired by the network three years earlier will lead FSC Securities as it seeks to grow in a competitive industry.

Some independent advisors worry the enterprise deal will slow innovation at the wealthtech company.

The move can help firms reach smaller investors and offer greater portfolio customization, the custodian says, joining peers in offering the share slices.

Whether it’s picking a securities attorney or finding a partner that can provide the service and support you need to transition, due diligence is key.

Form CRS was supposed to clear things up, but it’s made things worse, a fiduciary critic says.

Doug Elstun catered to NBA and NFL sports stars, many of whom may not have known about his confidential client settlements outside of FINRA.

Fighting among Democratic lawmakers over proposed hikes in individual and capital gains taxes is intensifying, creating more questions and opportunities for advisors.

SEC enforcement actions and regulatory requirements citing Form CRS suggests that firms need to step up their compliance operations.

The fintech firm says use of the loans grew 10% last year among its client base.

In the newly created position of vice president of digital solutions, Peter Clemson will oversee the creation of a unified platform for 11,000 advisors.