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The owner of RIA aggregator Mercer Advisors has pledged to maintain the IBD network’s current structure under the deal.

The recruits oversaw more than $200 million in client assets.

Looking ahead to the day that many young investors will fire their parents’ advisors, how does an advisor scoop up those unattached clients?

The rep mismarked 105 trades in five PNC customer accounts as unsolicited when in fact they were solicited, FINRA claimed.

John Kern is regional vice president of Corporate Synergies’ Florida office. He specializes in short- and long-term benefits strategy, healthcare reform/regulatory compliance, funding alternatives, wellness plans, benchmarking, benefits and payroll administration, actuarial services, executive benefits and private exchanges.

The funds raked in a combined $840 million last week despite competitive hurdles banks typically face going up against money managers’ core products.

The CFA Institute is adding the topics to its Level I and II curriculums for the first time next year.

Advancements in fintech, new products and a shifting regulatory environment are among industry executives' top concerns.

Certain clients will have to take a taxable distribution from the account every year.

Ken Meiser is chief compliance officer at ID Analytics and at Sagestream, leaders in credit and fraud risk solutions.