Financial planning

Advisory firms must be ready to deal with commonplace snafus as well as major disruptions.

Since its launch two years ago, Harvest Exchange has signed up 200,000 investors, nearly 25,000 advisors and over 7,000 investment firms.

The fraudster swindled nine Fidelity customers out of more than $1 million over a seven-year period.

Higher interest rates will be a welcome relief for retirees who live on income from bonds, CDs and money market funds; Plus, clients should not assume their former employers will manage their 401(k) assets after they resign.

Four scenarios are possible. Here’s the most likely.

Contributions to donor-advised funds before year's end can help clients who need to claim bigger deductions to reduce their tax bills. Plus, tax-savings opportunities clients may want to grab before they're gone for good.

The new recruits moved over to the independent side of the wirehouse.

Many tax extenders are expected to pass in their agreed-upon form in a matter of days.

Only 9% of younger advisors on ownership track have equity stakes in their firms, reveals the Fidelity Benchmarking Study.

Three of the top five winners were in the technology sector. Among the biggest losers through November are companies with commodity products.

Three of the top five winners were in the technology sector. Among the biggest losers through November are companies with commodity products.

A 69-year-old retiree who is in good financial standing overall needs to buy more equities with large cash stake; Plus, clients who want to retire at 55 need to consider health insurance needs before they become eligible for Medicare.

Regulator could make some "immediate" changes; arbitration reform advocate says he's "hopeful."

Some may not want to get dressed, shaved and made up before meeting on camera.

The Fed raised interest rates for the first time in almost a decade in a widely telegraphed move while signaling that the pace of subsequent increases will be "gradual" and in line with previous projections.

Your firm can’t rise to the top by dragging its feet on tech offerings.

As lawmakers broker a compromise to keep the government funded, industry groups vow to continue the fight to delay Department of Labor's controversial advisors rules.

A father and son along with their team leave the independent broker-dealer to join the employee side at Ameriprise.

The wirehouse is asking Credit Suisse advisors to sign a 13-year contract before joining the wirehouse – much longer than the industry standard, according to people familiar with the matter.

Some advisors have already found ways to harness client information for their practice in a very targeted fashion.