Economy

The regulator says it will keep an eye on issues like cybersecurity and cryptocurrencies.

In an internal memo, CEO James Poer pledges that any change to the firm’s capital structure "would be made with your business in mind first."

“I don’t want to call a helpline, I want a partnership,” the advisor says of her move to the firm, which expects to hit record gross recruited production.

The firm has recruited 22% more advisors in 2018 than the year-ago period.

The program could connect 4.9 million brokerage accounts to firms selected for the advisor network.

Advisors from across 79 branches were involved in selling offerings to family members and other brokers, including stock in Facebook, General Motors, LinkedIn and Twitter.

The custodian says as it rebuilds for a digital era, hiring technologists is a top priority.

The No. 1 IBD’s advisory AUM flows show results from the company’s efforts to reward advisors for choosing its custody instead of outside firms.

The firm is embracing a playbook beloved by hedge funds: a slew of options trades.

The new hires came at the expense of Merrill Lynch, Morgan Stanley, UBS and Hilliard Lyons.

Former Securities America rep Hector May carried out a 20-year scam through his outside RIA, according to prosecutors

The 50 largest teams and OSJs to change their affiliations show both the threat to incumbent firms posed by RIAs and the scale afforded by acquisitions.

Some advisors have been hunting for a better personal retirement strategy.

The IBD and its subsidiaries’ 2,300 advisors appear to be facing a sale by its parent, with bidding reported to be starting as soon as next week.

The more efficient firms can be in their marketing and sales activities, the more effective they will be.

A major Times Square development has secured more than $780 million in new equity, including about $400 million from UBS’s ultrahigh-net-worth and family office clients.

The wirehouse has experienced rapid growth in advisor productivity, executives say.

The firm has been looking to its wirehouse competitors for new hires throughout the year.

Evan Guido is looking to partner more closely with CPAs.

Independent Advisor Alliance and Private Advisor Group — two of the firm’s largest hybrid RIAs — say they’ve added billions in clients assets from IFP.