Independent BDs

Jamie Price doesn’t expect the firm's advisors to have any problem with a new standard after taking steps to comply with the more restrictive DOL rule.

The bank’s latest retreat from wealth management will move 51 advisors to the independent space under Woodbury Financial.

Dennis Zank will continue to be affiliated with Raymond James as a financial advisor.

The “breadth and depth of relevant resources” from the home office serve as a critical differentiator, Cerulli says.

Former CEO Mark Casady disclosed in arbitration testimony what led to the firing that resulted in a $30 million claim against the firm.

Should advisors and brokers have plain-English job descriptions and be required to work in their clients’ best interest? Commissioners will vote on whether to move ahead with key proposals.

Advisor Group firm Woodbury Financial targets the bank brokerage channel.

The advisor, a former employee, has been soliciting more than two dozen clients at the bank, JPMorgan says.

Bill Hamm’s Independent Financial Partners has grown more than fivefold in 10 years with the No. 1 IBD.

Advisors should conduct a comprehensive suitability analysis before initiating 1035 exchanges.

The $263 million practice’s new IBD reported record recruiting for 2017, helped in part by the movement of advisors following LPL’s massive acquisition.

When your client is a foreign national, it pays to find out if the same regulations apply.

Instead of thinking about fiduciary purely as an obligation or regulation, advisors should envision it as something much bigger: a way of life.

The Justice Department disclosed a felony probe the day before the broker’s termination.

Many of the trades should have triggered market manipulation concerns because they involved companies that were barely operating but engaging heavily in promotional activity, the SEC says.

The new hires say they were drawn to the firm’s investment platform, product offerings and investment diversification.

The Advisor Group IBD added three new teams, but state regulators required enhanced oversight of one new recruit.

Dan Arnold received a 155% raise in his first year atop the nation’s largest independent broker-dealer.

Planners are seeking the independence and support that they say they aren’t getting at wirehouses.

As the financial planning industry nears a fee-only, fiduciary world, independent broker-dealers will face some important choices about their future business models.