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Stifel Nicolaus & Co. has added a former Morgan Stanley advisor who managed more than $250 million in assets.

Growth opportunities for broker-dealers in the bank channel will come from within. Instead of seeking unprogrammed banks, they will focus on increasing their existing ranks and expanding their share of clients’ business.

Advisors recount efforts to help troops, being rebuffed by the military and their hope for change.

Saving a few basis points on expenses is nice, but the critical issue is finding an ETF that does what you want it to do.

Following an investigation by Financial Planning that showed a strong link between money woes and troops taking their own lives, a lawmaker pushes for additional funding to help them get comprehensive financial advice.

UBS Wealth Management Americas, an arm of Switzerland's largest bank, has joined the growing list of lenders in the United States gunning for mortgage volume through the wealth management channel.

Morgan Stanley sued to recover more than $3.6 million it paid to defend a former broker who was imprisoned for his role in a kickback scheme.

Martin Lack, the fourth ex-UBS AG banker to plead guilty to aiding wealthy Americans in evading taxes, avoided prison for a 17-year scheme in which he helped U.S. clients maintain secret overseas accounts.

Several banks have thrived on failed-bank acquisitions since the financial crisis. Here are the most active shoppers, in terms of the number of failures they have bid on, based on data from SNL Financial.

Investors' ravenous demand for high-yield municipal bonds has created an optimal environment for lower-rated issuers, analysts say.

Jason Stamm will lead a team of more than 350 investment, trust, private banking and financial planning professionals. He succeeds Mike Ott, who was recently named president of the business nationwide.

Saving a few basis points on expenses is nice, but the critical issue is finding an ETF that does what you want it to do.

By snapping up a series of independent B-Ds in quick succession. the RCS Capital executive chairman has instantly made himself an industry player. He talks to Financial Planning about his plans.

Two former Wells Fargo Advisors who managed $400 million have left to join a firm with Focus Financial Partners, the network of independent financial advisors.

High-speed trading isn’t such a big problem for investors - but the underlying structure of the U.S. financial markets just might be.

HighTower has added a Merrill Lynch team with nearly $300 million in assets to its new network aimed at breakaway independents.

Some assets work best in a tax-advantaged retirement plan while others belong in a taxable account.

A Financial Stability Oversight Council proposal that would regulate asset management firms in the same way large banks are regulated could have a major impact on fund company technology, operations and marketing.

Charles Gualano isn't competing against other banks and their advisors; or even some lower fee structure. More often, he’s working against investors' anxieties or misconceptions.

Community banks that are looking to complete acquisitions are deciding to go public so they have a stronger currency to offer potential sellers. However, recent IPOs have not performed as well as earlier ones.