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The shake up could strand investors with hard-to-trade securities.

The self-regulatory body says working with data aggregators increases the risk of cyber fraud, unauthorized transactions and identity theft. But aggregators say other links in the information chain are more vulnerable.

Bill Hamm’s Independent Financial Partners has grown more than fivefold in 10 years with the No. 1 IBD.

Advisors should conduct a comprehensive suitability analysis before initiating 1035 exchanges.

One couple in their eighties invested more than $700,000 with the alleged schemers, representing almost the entirety of their cashed-out pension, regulators say.

The WiseBanyan platform currently has $153 million in assets under management and 32,000 clients.

Candidates need to demonstrate how they have improved their firm's marketing, technology or operations.

It pays to review the differences between traditional and Roth IRAs.

Like other broker-dealers, the firm is far from achieving a ratio of 50/50 men-and-women planners.

Audit rates are dropping, but there are still triggers that taxpayers can avoid to further reduce their risk.

The misconduct is so pervasive that the regulator is temporarily allowing violators to come forward.

The firm was defined by a culture of “no, no, no,” a top headhunter says as part of On Wall Street’s annual recruiters roundtable.

BMO Wealth Management aims to modernize its investment service and give planners better equipment. Others offering automated advice solutions include UBS, Wells Fargo and JPMorgan.

The $263 million practice’s new IBD reported record recruiting for 2017, helped in part by the movement of advisors following LPL’s massive acquisition.

Updated calculators and a leaner interface are intended to raise awareness of “retirement readiness.”

Debt is back on the rise, this time led by government.

The continued ascendancy of low-cost passive funds puts pressure on compensation overall, particularly in active management.

When your client is a foreign national, it pays to find out if the same regulations apply.

While American women earn only 82 cents for every dollar men earn, the wage gap is far greater for female planners.

Sweeping tax changes have made it more important than ever to understand what is, and isn’t, deductible.