Raymond James, LPL, Kestra, the SEC, Dynasty, Janney Montgomery Scott, Mercer Global Advisors, Adasina Social Capital, Fidelity and other quick takes from the week in financial advice.

The firm grew its total assets under administration by 30% year-over-year, reaching $530 billion.

The company didn’t look into the incident carefully before firing Amy Cooper the following day, the suit says.

The firm serves UHNW clients, and the advisors embarked on a search in order to enable clients to have more access to private investments.

Records obtained by Financial Planning detail dozens of worker safety complaints related to COVID. But the problem could be as much about employee relations as it is about the pandemic.

An upbeat picture of industry resilience and silver linings is marred by a gender gap when it comes to job worries. Here’s what we can do about it.

Plans sold through brokers cost nearly three times as much as those sold directly; time-stressed parents can find it's worth it.

Last year, many banks made big, splashy pledges to advance racial equity. Now some of those banks are seeking to hold executives accountable for those efforts through their paychecks.

This moment has revealed an urgent need for rigorous frameworks that enable the comparison of companies’ performance against racial justice indicators, Earl Carr writes.

With technology upgrades and the hiring of former TD Ameritrade recruiters, the No. 1 IBD eyes further expansion in the RIA channel.

In a pandemic-scarred year, boards and compensation committees at 60 large and regional banks relied less on the normal performance metrics and more on qualitative criteria to determine bonus payments.

The advisor, who is Egyptian American, lost most of his client accounts to a white rep who poached them with support from management, a new lawsuit claims.

The former head of Bridgewater Associates suggests tying CEO pay to inclusion efforts.

In a panel discussion, three financial advisors explained why the products are often misunderstood and how to assist clients in evaluating their policies.

During first quarter earnings last month, the bank said that it would take a $300 million restructuring charge related to the cuts in the second quarter.

Two advisors left their prior firm of 10 years after the bank’s wealth and asset management unit generated record net income in the first quarter.

Pulling the costs directly out of clients’ IRAs can blunt the sting, but it shrinks the pot of tax-deferred retirement assets.

The giant retirement plan recordkeeper’s BD didn’t adequately file suspicious activity reports for more than three years, according to investigators.

The MC of the Conference of African American Financial Professionals discusses The American College of Financial Services’ efforts to improve diversity in the industry.