Industry

Investment advisors and broker dealers have different “relationship models” with clients, the chairman says.

CFP candidates must master the new material in time for the November exam.

The trickle of brokers leaving wirehouses for greater independence is quietly becoming a flood.

The regulator will save members tens of millions of dollars by helping them verify advisors’ Form U4 financial disclosures, Robert Cook says.

The No. 4 independent broker-dealer has unveiled two major recruiting grabs from its rivals in two weeks.

A chance encounter in an elevator set Merrill Lynch advisor Adam Rosenfeld on a new path.

Wells Fargo was among biggest losers as advisors jumped to other firms.

If Cetera ties itself to a culturally unmatched firm, the roadblocks it creates for itself may be too much to overcome, an industry recruiter says.

Firms are required to verify their procedures are reasonable, but they also must tailor their supervision to individual advisors, and sometimes that means crafting higher level of oversight for some people.

Many planners see this exam as a must-have credential. Want to ace it? Have a plan.