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The rep ignored FINRA's repeated requests for documents it needed to investigate allegations that she made inaccurate statements on a mortgage gift letter.

Phil Shaffer says changes in the business necessitated a career change if he was to maintain an edge in serving clients.

The technology underpinning Alexa can automate meetings, update clients and even deliver advice.

Advicent's new CEO says enterprise clients are seeking advice on how to transition to a digital era.

The nation’s largest IBD paid $325 million, but it may spend as much as $508 million in the deal.

Retirees should weigh a number of factors, including the fact that the closing costs for reverse mortgages are higher than those for regular mortgages.

Over 75,000 advisors in the U.S. will be affected by what is expected to be the most significant version of CFP standards to date.

The new hire previously managed three UBS locations that generated $110 million annual revenue, according to the regional broker-dealer.

New standards for advisors cover digital advice, third-party relationships and expand fiduciary duty obligations.

A checklist for advisors who have clients looking to launch a new business.