Industry

Wells Fargo has a new group chief compliance officer for its wealth, brokerage and retirement division.

Regional wealth manager D.A. Davidson is launching a new training program aimed at bringing recent college graduates into the financial advisor profession.

Financial advisors who want to grow their revenues have two options: go bigger or specialize. Here's how.

Credit Suisse Group, Barclays and UBS were the largest dark pools in FINRA’s first weekly report meant to make the private trading systems more transparent.

The independent broker-dealers on the 2014 FP50 list delivered average revenue growth of 15% in 2013. For some firms, revenue growth was significantly greater. Here are the top 10 fastest growing IBDs based on revenue growth.

A former J.P Morgan advisor team that managed $1.5 billion in client assets has left the firm to join Wells Fargo Advisors.

Two former UBS advisors are moving over to Stifel.

As growth has surged at the nation's biggest independent broker-dealers, a new player has rocked the rankings and raised questions for the industry.

On Wall Street unveils the top ten branch managers of the year.

Across the industry, branch management faces increasing demands and fewer resources to mentor and recruit advsiors. Firms like Wells Fargo, Raymond James and Merrill Lynch are taking steps to provide relief.