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Heightened demands for data from regulators has meant the past practice of using spreadsheets to collect information is not only outmoded, but could leave a firm exposed to liabilities.

The wirehouse recruited two Morgan Stanley advisors, one of whom was previously terminated by Merrill in 2001, according to FINRA records.

First National Bank of Bemidji in Minnesota is looking to add advisors and clients.

Steve Dunlap is one of at least six top leaders who have lost jobs at Cetera or its troubled parent, RCS Capital, during last ten months.

A recruit with 16 years of industry experience moves between wirehouses.

Robo advisor seeks to add a piece of the $4.6 trillion market to its business.

Here are several tips for clients looking to boost their retirement accounts, including making the most of the catch-up features and investing in low-cost options; Plus what millennials should know about retirement planning.

The 30-year industry veteran joined from Bank of the West.

Experts say the Fed is likely to kick the can down the road once more on rate hikes, setting up December as the next likely time for action.

Children receiving gift money may face a kiddie tax. Plus, the best investment accounts for paying off a client's mortgage, and including income from hobbies in a client's returns.