Independent BDs

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.

Pershing CIO Ram Nagappan offers a framework to help advisors think about how to transform their businesses to digital.

From starting an RIA to joining an independent broker-dealer, there are myriad options for advisors seeking to go independent.

More than two-thirds of brokerage and RIA executives say there aren't enough young advisors to go around, according to a Fidelity survey.

How to help women in junior roles take the steps to become successful independent advisors.

Choosing a broker-dealer and/or a custodian is one of the most important decisions for advisors going independent. Here are five questions for each choice.

See which independent broker-dealers reported over 20% payout growth and what their average payout is.

Roll-up firm adds six advisors from the insurer and one more from Hutchinson Financial.

Financial Planning unveils its annual list of the industry's biggest independent broker-dealers.

The community bank says that LPL's compliance resources and technology were major factors in its decision.

There are some regulatory red flags that all advisors must pay attention to. But RIAs and brokers also face hurdles specific to their businesses when it comes to staying out of hot water.