Independent BDs

Broker-dealers have managed to control the terms of the regulatory debate. Advisors: It's time to watch your language.

Esther Stearns is working with financial software maker Guide Financial in its quest to "carry the NestWise torch."

As four officials begin terms as volunteer chairmen of CFP Board councils, a former panel chairman highlights the challenges they may face.

'There will be absolutely no pressure to sell any of our products,' says RCS chairman Nicholas Schorsch, who built a fortune on nontraded REITs but has recently been acquiring several big independent B-Ds.

A survey of 500 mass affluent investors by an industry association finds -- conveniently -- high awareness and use of nontraded REITs.

For RCS advisors and brokers, the sweet spot will be individuals and families with $300,000 to $3 million in investable assets, Schorsch says.

RCS Capital wants to buy an investment research firm, an RIA and a family office -- and hold a major industry event modeled on Charles Schwab's annual Impact conference.

Royal Securities to pay $175,000 in FINRA fines over non-traditional ETF sales, church bonds and other violations.

An advisor team with nearly half a billion dollars under management has left AXA frustrations with how the firm structures its compensation plan.

The company reports asset and revenue growth but "regrettable" advisor attrition.

Cambridge's Amy Webber says promotion is next step in complex internal succession plan.

John Lindsey, who left Edward Jones in 2012 and won a FINRA arbitration case against his former firm last summer, has launched The Bold Advisor to provide support, guidance and information to breakaway advisors.

Hot on the heels of record revenues for 2013, LPL plans to repurchase nearly 2 million shares from one its largest shareholders.

LPL Financial is positioning itself as a simplifying agent for advisors facing a stream of new technological innovation.

The country's largest independent broker-dealer attracts 110 net new advisors in the fourth quarter.

Retiree-focused Cherrington Brotsky left Morgan Stanley to join broker-dealer FSC, a member of Advisor Group.

From suitability and complex products to cyber-security and data integrity, where do broker-dealers start? Here's an overview of some of the areas that FINRA or SEC examinations will likely focus on at firms in the coming year.

Securities America and United Advisors have recruited Kevin Hughes, a top former Morgan Stanley branch manager, to head up their new hybrid independent wealth advisory business.

If an advisor is offered 360% of trailing-12, this app will break down the details: how much is upfront and how much is doled out for various thresholds along the way. Plus, annual payout bonuses will be revealed.

From talking about why advisors may be missing the boat on retirement plans to regulators zeroing in on elderly client protections, here are the most notable quotes from the past week's stories.