Financial planning

Two veteran advisors overseeing over $210 million left the wirehouse this week to join the independent firm that is affiliated with Raymond James.

Strategies for writing off investment costs; plus knowing the taxes and penalties on Roth IRA withdrawals and tax breaks for college students.

A thought-provoking look at how Vanguard products – and potential retirement plan alternatives – touched off a debate.

This government benefits program offers a significant safety net to surviving family members. Advisors should be sure to know all aspects of this vital help.

Volunteerism helps attract the next generation of clients and employees.

To make money betting on the Federal Reserve this week, investors would have done well following traders of the dollar, not Treasuries.

Bludgeoned by falling energy prices, at least a dozen oil and natural gas companies have opted to cut dividends this year to preserve cash.

Though much lauded in academic literature, there are good reasons your clients should not own a market portfolio, according to our columnist.

Advise your clients to choose an annuity they understand and one that offers simplistic solutions; plus three retirement stocks to buy this month.

The broad-based price reductions could force other IBDs out of business, one expert thinks.

Clients who want to secure their retirement should learn how to distinguish good debt from bad; plus is the U.S. experiencing a retirement crisis?

During questioning by Sen. Warren, FINRA CEO Richard Ketchum said the regulator may set up a new fund for "terribly harmed" investors.

The firm's CEO said performance at the wealth management and investment banking units has failed to recover in the first quarter with “challenging conditions” continuing into this year.

The SEC will want to see tailored policies and procedures if the Treasury Dept finalizes its rule requiring RIAs to set up anti-money laundering programs.

Alliance of Comprehensive Planners hopes to boost name recognition and increase membership by rebranding itself for the second time in two years.

Clients upset they won't be able to file and suspend? Not to fret, there are other claiming strategies that may be even more effective.

A new FINRA report warns firms they should be ready for reviews on their use of digital investment advice tools.

As head of new Office of Risk and Strategy, Peter Driscoll says his team will ramp up scrutiny.

While the sector has been in a slump, advisors who go beyond the recent returns can show clients how these funds have bested the S&P 500 over time.

Royal Alliance, SagePoint Financial and FSC Securities "willfully violated" securities law and breached their fiduciary duties to clients, the commission says.