Economy

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

The firms had the same parent, but Girard Securities’ CEO says the move will help its 200 advisors.

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

The broker claims in filings that he was harassed by the bank, culminating in his firing in February of last year.

The nation’s largest IBD paid $325 million, but it may spend as much as $508 million in the deal.

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

A checklist for advisors who have clients looking to launch a new business.

Quietly, Invesco's robo advisor has scored IBD and brokerage clients.

The mishandling of the two former employees’ complaints, detailed in documents and by former OSHA officials, raises questions about the government’s treatment of whistleblowers throughout the financial services industry.

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 company spent $77 million on technology last year, but difficult changes lie ahead.

Dan Rothenberg of UBS says it's given his team an "easier hurdle to be beat rather than a benchmark."

"You know the industry that we're in, it's very much word-of-mouth," says Morgan Stanley's Fulvio Urbinati.

We've reshuffled our Top 100 bank advisors to list them by annual production. Here are the top 20.

The Northeast prevails, but there's a surprise in the rankings revealed by this interactive infographic.

This sector had a bad name for years after the crisis. Is it time to include it in portfolios?

Merrill Lynch's Dane Runia says he avoids outsourcing too much.

The Dynasty-affiliated RIA manages around $15 million on average per client.