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Advisors should reinforce habits that ensure ethical behavior to the point that they become second nature.

Plus, what investors can learn by reviewing previous years' tax filings and how to lower their payments to the IRS.

Ellsworth Private Wealth Management hooks up with Stratos Wealth Partners, citing the use of LPL's RIA and broker-dealer platform.

President Obama has proposed payroll taxes be reshuffled so the portion that pays for the disability fund would be increased by nine-tenths of a percentage point, but Republican lawmakers want changes to address Social Security's overall financial health.

John Houston, managing director of Raymond James’ Financial Institutions Division, shares his views.

IRA expert looks at potential pitfalls when converting an IRA to a Roth IRA and distributions are required.

Salient Partners, a $21.5 billion investment firm, plans to buy Forward Management to expand its liquid alternatives business, a fast-growing product that offers hedge fund-like strategies to individual investors.

Advisors generating $5.8 million in annual revenue left Morgan Stanley for Merrill. The team is led by the No. 7 advisor on On Wall Street's Top 40 Under 40 ranking.

The SEC barred an RIA from the industry after the firm was charged with misleading investors -- including falsely claiming that its fund was "SEC approved."

No one can agree on what the Fed will do with interest rates. In the meantime, the banking industry's more-conservative players are devoting more resources toward hoarding low-cost deposits and purging shorter-term borrowings.

The market isn't as drop-dead gorgeous as it used to be, but it's still attractive.

Smaller banks must find ways to embrace new and disruptive ways of doing business to compete with bigger institutions and nonbanks, say industry experts.

Your success as an advisor hinges on the relationships you build with clients. But before you can start, you must first appear to be someone with whom that is possible.

To justify their higher cost, advisors need to go beyond a commoditized service. If you're merely providing asset allocation or portfolio rebalancing, you're in the danger zone.

The firm has made lending and deposits a greater part of its strategy as it seeks to generate more revenue from brokerage clients.

Genworth Financial jumped in early trading after losses at the long-term care unit were narrower than some analysts had expected.

Asset management organizations must adopt modern, maintained systems that provide a single coherent book of record and smoothly integrate with the surrounding necessary data flows.

Investors in their 20s and 30s are advised to reduce their stock allocations since they are likely to change jobs and subsequently cash out a part of their accounts.

Seeking to bolster its team after co-founder Bill Gross left last year, Pimco announced it hired Joachim Fels as global economic adviser.

Which banks are advisors moving to? Ten recently switched to BNY Mellon, Bremer Bank, Regions Bank, U.S. Bank and Bank of America's U.S. Trust.