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Allison Couch's newly created role focuses on sales and distribution strategies across one of the industry's largest broker-dealer networks.

City National Bank hired five wealth management pros in its private client group in California’s central coast region.

Ben Pace, Deutsche Bank AG’s chief investment officer for wealth management in the Americas, is leaving, according to two people with knowledge of the matter.

Formerly affiliated with MassMutual Financial Group, Joe Esposito and Keith Kiker will bring more than $150 million in client assets to Commonwealth.

When financial planners launch a firm, success hinges on knowing how to run a business.

Two Merrill Lynch veterans who generated about $1.6 million have left the wirehouse for Raymond James & Associates.

UBS is shaking up its wealth management executive ranks, bringing in Paul Hatch as group managing director, in a move that the brass says will better serve advisors and clients.

In cases heard by an SEC administrative law judge or a FINRA hearing panel, a study finds, 46.7% of broker-dealers, advisors and registered reps succeeded in getting charges dismissed or lowering the sanctions imposed.

Whether you're selling right now or next decade, there are many ways to make any solo practice appeal to buyers.

Morgan Stanley has lost two advisor teams that managed more than $400 million in assets.

Morgan Stanley is reshaping its executive ranks, appointing new heads for its private wealth management business and capital markets.

A new RIA in North Carolina formed by three recently departed wirehouse advisors has chosen to affiliate with Raymond James' custodian group.

Morgan Stanley, the top-ranked merger adviser so far this year, hired Barclays' Brad Whitman for its financial institutions banking group.

Executive pay packages have long been structured to reflect performance. But one key task that often gets short shrift from bank directors and CEOs is succession planning. Now pressure is mounting for that to change.

Despite a commitment by Schorsch to keep top executives, Roth, the former Advisor Group CEO, will head the new management team.

Market Street will hardly be the only new kid on the block fighting for market share in New York.

Securities America picks up a team with $100 Million in client assets while a Goldman vet heads to CapWealth. Here's a roundup of some of the most recent moves among independent financial advisors.

Kevin Keefe replaces Adam Antoniades as RCS boss shuffles executives for the first time since buying five IBDs.

FINRA's broad brush strokes smear good advisors as well as the bad ones. Here are five ways that the regulator, and the industry in general, tars those advisors who uphold the law and act responsibly with the same brush.

Donald Runkle, who spent nearly 11 years as Raymond James Financial Services' chief compliance officer, resigned; the firm provided no explanation for the departure.