Financial planning

FINRA hands out 18-month suspension, $10,000 fine and $233,000 in 'disgorgement' for selling away and nondisclosure issues, documents say.

The Atlanta-based IBD, which offers advisory firms both a broker-dealer and a fee-based RIA multi-custodial platform, is closing in on a record $20 million in new revenues this year.

Investors can protect their assets by asking their advisors the questions asked by the SEC; plus how to plan for an unplanned retirement and what to do before getting out of debt.

When spouses or other family members can't agree on where to donate their money, it's time for some diplomacy.

Point72 Asset Management said it took a 5.1% passive stake in RCS in a Nov. 14 regulatory filing.

Advisors can help identify those organizations that will be most satisfying to support and may strengthen their relationships with clients in the process.

The 3-year old branding campaign has raised awareness among the CFP Board's target market of mass affluent investors by 6%, to the point where nearly one-third of that audience recognizes the CFP brand.

The likelihood that a powerful tech innovator such as Google will enter the asset management space and upend the market has increasingly become a matter of concern and speculation within the financial industry.

Advisors can help identify those organizations that will be most satisfying to support and may strengthen their relationships with clients in the process.

A hearing last week dealt with one case that could have far-reaching implications -- challenging Maryland's authority to tax all income of a resident whose business pays taxes to other states -- while another case coming up on the Affordable Care Act promises to have even bigger ramifications.

Americans can limit their spending, work past their retirement age or accept that they could spend their golden years in poverty; plus the benefits of a phased retirement and tips for choosing a country in which to retire abroad.

Advisors need to face a hard truth: Independent RIAs have lost this round. Fortunately, there are other, better ways to set yourself apart.

J.P. Morgan has lost advisors to its rivals, including a team with nearly $1 billion in AUM. Meanwhile, RBC Wealth Management has recruited several advisor teams managing more than $350 million in assets.

When helping clients plan their charitable giving, there are two topics advisors need to cover in-depth in their first conversations.

If you want to find the next generation of talented advisors, you may need to know which schools are educating them. The CFP Board certifies 372 educational programs, from certificates to Ph.Ds. See the 35 standout colleges, universities and other educational programs that made our list.

Studies show that helping clients plan their charitable giving can strengthen planners' relationships -- and their businesses.

Stocks that have suddenly become predominant in a client's portfolio are prime candidates for a charitable donation.

When helping clients plan their charitable giving, there are two topics advisors need to cover in-depth in their first conversations.

Tax benefits of homeownership are overstated, study finds; plus proposed changes that put Roth IRA advantages at risk and five takeaways on retirement from the midterm elections.

Studies show that helping clients plan their charitable giving can strengthen planners' relationships -- and their businesses.