Economy

Sales commissions may decrease, but new assets are expected to come on the platform.

The recruits moved to the firm from Morgan Stanley, Wells Fargo, Stifel and Voya.

Vice Chairmen Dan Cummings and Sam Chapin, who helped meld the wealth management firm to the bank after the financial crisis, are stepping down.

Firm relaunches as Aretec – Cetera spelled backward; new owners are undisclosed.

The recruits made the move between wirehouses with two client associates.

The recruit generated $1.7 million in annual production before making the move.

Commission staffers are probing how broker-dealers are handling ETFs and the extent to which investors understand the risks of the funds.

Judge’s decision paves way for the Cetera subsidiary’s IBDs to move past RCS troubles; retirement benefits are unaffected, judge says.

The recruits generated $1.8 million in annual production before making the move.

In an unusual move, the two veteran advisers left the independent channel to rejoin an employee broker-dealer.

As Cetera parent RCS Capital moves toward bankruptcy emergence, the IBD will shutter two smaller IBDs, leading to likely loss of unknown number of advisers.

Recent market and economic headwinds have dampened growth at all three firms, which have been striving to grow through recruiting and acquisition deals.

Keeney Financial Group plans to leverage Triad affiliation to grow, firm founder says.

The head of the advisory group also was returning to where his career started.

While large brokerage firms pilot digital advice platforms, D.A. Davidson is holding back to see what works and doesn’t, says a top executive.

Megent is planning to expand its union-sponsored retirement plan services.

Advisers, get ready to track — and secure — client information streaming in from physical properties and a vast array of accounts.

He will join a team of ex-Merrill advisers that will oversee more than $370 million in client assets at Snowden.

Vanguard founder John Bogle and the DoL's Phyllis Borzi support an investor bill of rights.

The firm is not launching a standalone robo service, but says new technology will empower its roughly 7,100 advisers to better meet client needs.