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The 25-year veteran will fill a newly created position overseeing trading activity for the firm's wealth management and capital markets business.

In its first day of hearings about the proposed fiduciary rule, the DoL has heard testimony from advisors, legal experts and other industry representatives — many seeking revisions to minimize the ‘burden’ of the rule’s future implementation.

Clients planning to retire with adequate savings are advised to reduce their spending and develop a strategy to lower their tax burden; Plus, how clients should decide on the right 401(k) and are baby boomers too optimistic about retirement?

The five-advisor team gives the roll-up its first offices in South Carolina.

A week of hearings on contentious fiduciary proposal gets underway as SIFMA chief warns brokers will abandon retirement market if rules take effect.

The Canadian bank's U.S. brokerage landed two brothers who spent a decade working for the regional broker-dealer.

The sudden closure of a TAMP spurred a competitor to seek a position to benefit from its demise, recognizing an opportunity to ramp up its growth plans, asset base and workforce.

Employees may express interest in annuities, yet few retirement plan sponsors are rushing to offer them within their 401(k) plans.

Analysis: Smaller firms may sometimes require more due diligence for advisors considering a move. Here's what to look for.

The IRS is warning tax preparers that clients who fail to file their tax returns for last year run the risk of missing out next year on advance payments of the premium tax credit for health insurance under the Affordable Care Act.