Independent BDs

CEO Dan Arnold pledged new tech-enhanced support for advisors as part of a larger cultural transformation.

A new FINRA initiative to root out breaches of supervisory rules on 529 plans provoked criticism from the IBD advocacy group.

The firm suffered from market volatility in the fourth quarter.

Digital tools will not only allow advisors to serve more clients, they can help advisors charge for services with greater accuracy.

In an unusually frank discussion, women executives from five major firms urged the industry to get involved in educating young people about wealth management.

The network’s largest subsidiary will support fee-only advisors, and one of its smaller firms is targeting five times its level of recruitment from 2018.

Monthly charges are the area in which there’s the most variation amongst broker-dealers, writes recruiter Mark Elzweig.

The W Source expects to reach more than 40 chapters over the next three months, creating referral groups of hundreds of professionals.

The No. 1 IBD requested that other variable writers “contractually reaffirm their commitments to protecting trails,” an executive says.

An uptick in retirements dampened the firm’s efforts to expand its brokerage ranks.