Compensation levels rose approximately 7% last year despite mounting industry challenges.

A new survey finds that investors prize full and upfront disclosures about fees and conflicts of interest, but advisors fall short.

Planner Greg Phelps, one of the project volunteers, survived the shooting by sprinting across the concert grounds while bullets slugged into the ground.

Contributing $300 a month to a 401(k) over 40 years with an average 7% return will result in more than $700,000. So the benefits are there, but do your clients know the details?

The money manager is also offering pension and 401(k) plans that exclude firearms from employee retirement programs.

Investors brought a class-action suit against brokerage alleging a "scheme to churn revenue from essentially dead assets."

The new hires say they were drawn to the firm’s investment platform, product offerings and investment diversification.

Being raised by a single mother and going through two divorces taught Loreen Gilbert how to be a better planner, she writes.

The Advisor Group IBD added three new teams, but state regulators required enhanced oversight of one new recruit.

The bank is said to have been aware of the accusations for years.

The retirement problem comes down to the fact that many people don't have access to a 401(k) plan. Here's one solution.

Need a gut check on your career? Read what top recruiters have to say about the big and small firms in the industry.

The firm is asking a judge to dismiss a class action suit and force a former broker into arbitration, instead.

Homeowners have fewer options as state and local deductions have been capped under the new law.

Advisors who should self-report a violation — but don’t — could face enforcement actions.

As the shift to fee-based accounts roils the industry, forward-thinking firms are revisiting how they pay employees while also making work more enjoyable. By Charles Paikert

The newly independent advisors added a new team and are looking to bring on more practices.

Dan Arnold received a 155% raise in his first year atop the nation’s largest independent broker-dealer.

Barry Snyder’s complaint depicts him as a victim of federal investigators and the bank, with both sides threatening to turn on him.

Dean Hoover is the latest advisor to join the Raymond James-affiliated independent firm.