Economy

The new offering would enable the firm to serve "more than their traditional wealth management needs," an executive said.

The duo led a seven-person team in Chicago serving 50 wealthy clients, according to the bank.

It seems that a long bull market in transition deals may be coming to an end.

Certain planning techniques allow estate owners to bequeath vacation homes without triggering hard feelings and large expenses.

Purchaser B. Riley Financial will operate Wunderlich alongside its RIA and investment bank.

Opponents of the regulation don’t have “new evidence” to beat back a final legal challenge, says the former assistant secretary of the Department of Labor.

C.L. King & Associates argued it did not break any FINRA rules.

The firm says its external backup system failed at the same time its main internet connection was cut, raising concerns.

The firm’s newest team left Wells Fargo’s independent channel.

The move is the latest in a string of new hires at the regional brokerage firm.

The OCIE is suggesting best practices for firms to protect themselves.

The broker says the decision to switch firms was "an easy one."

The firm's latest hires joined from regional brokerage D.A. Davidson.

Led by a 33-year industry veteran, the group joins the regional firm from UBS.

The regional firm's latest hires come just a week after it hired a Morgan Stanley branch manager.

The recruit will be a producing branch manager and oversee 10 advisers, according to his new employer.

The recruit made the move a week after the independent firm recruited three other wirehouse teams managing more than $600 million.

"It's always nice when one poker player folds and it's down to two or three players," one recruiter says.

Having gone through the lengthy and draining process, Exencial Wealth Advisors’ Michelle Scarver shares her No. 1 piece of advice for fellow planners.

The wirehouse will offer commission-based retirement accounts under limited circumstances.