Merrill Lynch

Podcasting, a killer website, great marketing and freedom to focus were among the reasons why the team left.

The regulator gave the firm credit for “extraordinary cooperation” despite alleging that its system failed for six years to the tune of more than $13 million.

The wirehouse is making the business case for financial advisors merging their books together, alongside an offer to assist with coaching services.

The $2.6 billion Miami firm is the largest independent advisor yet to take advantage of the U.S. territory’s incentives.

Philadelphia-based Janney Montgomery Scott added three teams from Wells Fargo and Merrill Lynch across two states managing $1.4 billion in client assets.

Consumer prices last month jumped the most in 13 years, alarming financial advisors and their clients, but everyone should calm down, Michelle Meyer says.

Raymond James’ advisor employee headcount has remained relatively flat over the last five quarters, while its 1099 channel saw an increase of 3% over the same time period, according to the company’s latest earnings report.

David DeVoe, founder and CEO of DeVoe and Company, says Mariner's acquisition of Allegiant is likely the beginning of its next phase of momentum with RIA transactions, following the investment of its new PE partner earlier this year.

Thousands of clients paid sales charges that they wouldn’t have incurred had they held the pricey alternative products until maturity, according to FINRA.

The giant wealth manager is re-hitting its stride after its best quarterly net gain in advisors in at least two years.