Financial planning

The independent firm founded by former Merrill Lynch executives hired away a recruit from the wirehouse.

A fresh look at the best pay for advisers at the wirehouses and leading regional broker-dealers.

One impersonated a client, another grabbed client funds via ATM withdrawals and a third stole from a nonprofit, FINRA says.

A new study finds that 36 online calculators provide "extremely misleading" advice about retirement planning; plus, dreams of living well in retirement dim for Americans.

Unlike other financial service providers such Schwab or Fidelity, Pershing will not be coming out with its own branded robo advice solution.

The industry regulator handed out a lifetime ban, fines and suspensions to three brokers involved in a scheme to pump up the trading price and volume of stock.

Brokers' clients received letters from LPL that implied he stole money, over a $20,000 loan he had repaid, lawyer says.

Looking for income? These funds have the highest expected dividend payments compared to current stock prices.

Can FlexScore provide a "hand-on-your-shoulder" experience online by focusing on a client's life, rather than investment strategy?

Over half of people in their 60s have done no retirement planning in the past three years, according to one survey; plus, Medicare's biggest problem is not what your clients think.

The former broker turned consultant to planners was in financial straits, his wife told police.

Advisors should go behind the music before signing up tomorrow's stars.

A third-party examination system might be the most practical response to RIA oversight, but questions remain about how advisors will shoulder the costs.

ETFs made investing easier for retail clients, not just in stocks but in riskier areas they may not understand like currencies and bank loans.

How to score big with business-owning clients and prospects.

It's never easy to talk to strangers, but establishing a swift rapport with prospective clients is vital for building your business. Advisors share their best tips for getting these conversations underway.

President Obama's proposed 2017 budget includes provisions that would scrap the "backdoor" Roth IRA and Roth contributions after 70, ending the tax benefits from these strategies; plus; are 401(k)s and 529 college savings plans safe places for clients to invest?

The exit comes a month after Cetera filed for bankruptcy, and after the IBD said it’s having trouble with advisor retention.

Totum Wealth says its new platform can analyze risk while also creating a custom portfolio. Our tech communist gives it a try.

What clients with college loans need to know to save on their taxes; plus, tips for expat clients filing with the IRS, and knowing the details behind local and state tax deductions.