Ameriprise Financial

Five fired and barred former registered reps stole more than $1 million from clients over a four-year period, according to the regulator.

Advisors John Burg and Tamara Colon moved their California practice to the regional firm.

The largest firms’ combined VA and FA revenues hit a three-year low in 2017, but the products still make up a significant portion of their businesses.

The firm will move over to Salesforce’s CRM tool starting next year as part of an effort to boost efficiency with new technology.

J.D. Power’s annual survey reveals the importance of leadership and culture, along with differences among male and female representatives.

While Raymond James and Stifel are on hiring sprees, Wells Fargo is still losing talent.

Securities America and Atria Wealth Solutions hired recruiting and operational heads from Ameriprise and Cetera.

Firms of all sizes have helped push fee-based business above commissions as the industry undergoes a transformation.

Shifts in the annual ranking of the nation's independent broker-dealers show how pressure on IBDs is intensifying.

The No. 4 independent broker-dealer has unveiled two major recruiting grabs from its rivals in two weeks.

The firm’s headcount declined slightly in the quarter, but advisors’ productivity remains strong and growing.

The advisor fooled her victims into thinking she would invest their funds when in fact she used the money to buy luxury items and real estate, prosecutors claim.

The new hires say they were drawn to the firm’s investment platform, product offerings and investment diversification.

National Financial Services accused the brokers' former IBD of breach of contract in a case displaying the complexities of such moves.

The second-largest independent broker-dealer overcharged nearly 1,800 retail retirement accounts, the regulator says.

Ameriprise is looking to reverse a decline in its headcount.

CEO Jim Cracchiolo says the firm’s headcount is poised for growth again following a stagnant year.

The advisors joined the firm's recently opened office in Flint, Michigan.

On Wall Street unveils its annual ranking of successful young planners.

The change builds on earlier policy shifts at Ameriprise, which previously pulled more than 1,500 funds from its platform.