Making excess withdrawals could result in taxes on the earnings and a hefty 10% penalty.

From fees to geography, here are some of the best ways to attract and keep high-net-worth investors.

The new hires are the latest recruits to join the regional firm.

Smaller brokerages are benefiting in big ways from cutbacks at three of the four largest firms.

Let's have a robust discussion about how to improve outcomes for clients, but let's stop inventing bogus reasons why we shouldn't look after their best interests.

While her performance at the bank has been exemplary, she was denied opportunities that directly affected her pay, the advisor claims.

The nation’s largest broker-dealer must convince thousands of NPH advisors to make the transition.

Retirees who under-reported their income to avoid taxes will also get smaller retirement benefits than they deserve.

Blue Moon Wealth Advisory becomes the eighth major purchase for the RIA in the past 18 months.

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

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

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

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

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

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.

The withdrawals can be taken early in the year, late in the year or in installments throughout the year. Each approach has advantages to consider.

Managers can use these methods encourage employees to work together, according to columnist John J. Bowen, Jr.

Congress may have a difficult time closing tax code loopholes that benefit households more than corporations, an expert suggests.