Industry

The U.S. Senator says she is, "concerned that these incentives present a conflict of interest for agents and financial advisors."

"The bar of expectations among advisors has been raised by their experience with a best-in-class website," says the author of a new report in which advisors ranked fund managers.

After several annual losses and FINRA fines, call center magnate John Sykes to sell JHS Capital to the country's second-largest IBD.

Collectively, the new recruits from Wells Fargo, Morgan Stanley and A.G. Edwards managed a total of $600 million in assets before joining the firm.

A recent coaching seminar has me recalibrating my understanding of practice management. You may need to adjust yours, too.

The commission alleges that the advisor and his associates defrauded investors by concealing key information about unpaid debts in two rounds of securities offerings in farm loan ventures.

These leaders are finding it more difficult to keep a balance between advisors and their firms.

Three advisors were stripped of their CFP designations, 13 were suspended and seven were publicly admonished for technical infractions.

After 20 years with UBS, the nearly 40-year industry veteran will now head a Baird branch in the Midwest.

Even if you think you're ready to find a successor, make sure you've taken these three steps to pull back and prepare for a sale.