Subject Root Tag

The uncertainly of regulation and their own survival is at the root of advisors’ stress, but there are also some positives of the job.

“Securities that offer souped-up returns are just too dangerous,” says Executive Vice President Jim Ross.

Critics say SEC efforts to regulate advisor titles could produce a game of whack-a-mole, as non-fiduciary financial professionals adopt other terms intended to blur lines.

A massive acquisition also helped boost the No. 1 IBD’s headcount by 833 advisors year-over-year to 15,210.

The products are designed to provide some upside potential yet limit investment risk, which has helped boost their popularity.

The stresses of the job practically demand that we have people to confide in when the going gets rough, Michael Kitces writes.

A recent report from Democrats on the Joint Economic Committee says that Social Security is being threatened, and the federal government should consider modernizing and enhancing the program.

The firm incorrectly coded her payout at the institutional rate, a mistake that impeded her ability to move up the pay grid and attain bonuses, she alleges.

FPA leaders say they are sounding out members and looking at where the proposals may fall short of needed investor protections.

Gender discrimination and sexual harassment still occurs in a profession whose history includes scandals such as Smith Barney's boom-boom room.

The funds paid for multiple vehicles, bedroom furniture and debts at casinos, prosecutors say.

The cheapest 20% attracted nearly $1 trillion in new client cash last year.

The firm also reported record revenue and pre-tax income for the recent quarter.

Lower incomes, longer lives and time out of the workforce means women lag men when it comes to preparing for retirement. Advisors can help.

The differences generally come down to investor eligibility and when taxes are paid, but that can have a significant impact.

A 41-year industry veteran says his practice was seeking “a new strategic partner to help us take the next step in our firm’s growth.”

The strategy has been one way asset managers have pared losses after 10-year Treasury yields reached 3%.

The influential retiree advocacy group filed for a 17-judge review of the decision.

The private equity-backed IBD is "very appealing to advisors in that larger independent setting," its top recruiter says.

Wirehouses have been seeing a decline in their advisor headcounts.