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Phil Shaffer says changes in the business necessitated a career change if he was to maintain an edge in serving clients.

The broker claims in filings that he was harassed by the bank, culminating in his firing in February of last year.

The industry’s benchmark ETF recorded its fourth largest inflow in the past five years.

The technology underpinning Alexa can automate meetings, update clients and even deliver advice.

Advicent's new CEO says enterprise clients are seeking advice on how to transition to a digital era.

The nation’s largest IBD paid $325 million, but it may spend as much as $508 million in the deal.

Retirees should weigh a number of factors, including the fact that the closing costs for reverse mortgages are higher than those for regular mortgages.

Over 75,000 advisors in the U.S. will be affected by what is expected to be the most significant version of CFP standards to date.

The new hire previously managed three UBS locations that generated $110 million annual revenue, according to the regional broker-dealer.

New standards for advisors cover digital advice, third-party relationships and expand fiduciary duty obligations.

A checklist for advisors who have clients looking to launch a new business.

Software from Liquidnet is designed to avoid curbs on dark pools in Europe.

A primer on characteristics that enable advisors to build a successful practice that entails very little marketing.

Quietly, Invesco's robo advisor has scored IBD and brokerage clients.

The mishandling of the two former employees’ complaints, detailed in documents and by former OSHA officials, raises questions about the government’s treatment of whistleblowers throughout the financial services industry.

IRA investors should consider implementing a charitable lead annuity trust when converting some of their funds into Roth to mitigate the tax bite.

Louis Blazer III used client funds to finance 'Mafia the Movie,' according to the complaint.

Securities America adds 10 advisors in the second recent poach by a Ladenburg Thalmann firm.

Two of the groups joined the regional firm from Morgan Stanley.

The advisor says he joined the regional broker-dealer to focus on his core business of financial planning.