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In the wake of the exec's departure, the bank has implemented a new field structure that aims to bring the banking and investment services businesses together.

Edward Jones and four other firms were sanctioned by FINRA for overcharging some clients on mutual fund sales.

You may understand all the ins-and-outs of your client’s portfolio, but helping them understand requires a more simplified approach.

Advisors who convey bad news with understanding and empathy can help clients make better decisions about their financial health.

Tash Elwyn, the president of Raymond James & Associates, says the path to success lies in recognizing that "every advisor is unique, every client is unique and the delivery of advice should be unique."

Paul O'Neil received the lifetime achievement award this year for his deep career in the mutual fund industry as well as for his nearly four decades of work with NICSA.

The First Trust Dorsey Wright Focus 5 ETF has accumulated $4.2 billion in assets in a little more than a year and a half, despite having a fee that is far higher than even the asset-weighted average mutual fund fee of 0.66 %.

You load up on a mutual fund and it returns 15%. You're a genius--until you learn the benchmark in that industry returned 18%. Here are the top outperforming mutual funds for the past 3 years.

Help them keep more of what they earn after they stop working.

Fidelity "served as a haven from regulatory oversight as it ignored blatant unregistered investment advisory activity,” according to Massachusetts' top securities regulator.