Independent BDs

Even as a first step for clients seeking information on advisors, BrokerCheck is under scrutiny by advocacy groups.

Regulators have cracked down on LPL advisors in Massachusetts for using terms like "Retirement Specialist" and "Retirement Income Planning Specialist" -- while its planners use them elsewhere.

Which independent broker-dealers have the most female advisors?

Which independent broker-dealers have the most female advisors?

LPL aims to serve retirement plan assets of large RIAs, some of its strongest competitors in non-retirement plan advisory work.

These independent broker-dealers reported the highest portion of top-shelf advisors.

Two advisors go independent with Raymond James, looking to structure their practice without wirehouse limitations.

FSI endorses IBD head Brian Kovack for FINRA post; Kovack hopes to win mid-sized IBD seat in which he would says he would represent firms, not investors.

The wirehouses aren't fading yet, but many independents argue that these firms will need to change dramatically to retain market share.

Two veteran advisors went independent with Dynasty, dwarfing the firm's previous recruits.

Leaving the wirehouses for independence can be worth it, but be prepared for the unexpected, advisors say.

"LPL is a different place than when we started there 11 years ago," says CBD Wealth Management partner Robert Comeaux, Jr.

A Morgan Stanley exec and other industry experts urge financial planners to embrace this approach to making investments, popular with both millennials and women.

Advisors play a crucial role in keeping clients accountable to their retirement savings plans, according to experts at the Morningstar conference.

These independent broker-dealers reported the highest portion of fee-based business.

These independent broker-dealers reported the highest portion of fee-based business.

Compliance experts Brian Hamburger and Robert Molinari offer up best practices for preparing for SEC and FINRA audits.

Bad retirement advice forced a woman to take a job earning little more than minimum wage to make ends meet, her lawyer says.

The commission ups its scrutiny of retirement-focused advisors and broker-dealers as elder fraud skyrockets, securities lawyer says.

Two former National Planning Corporation brokers "are just normal dudes and they just screwed up," says a lawyer for one of the men.