Practice management

Cinda Collins alleged before a FINRA arbitration panel that RBC fired her in late 2019 in an attempt to "steal much of her book of business without compensating her for it."

Is your firm promoting diversified advisors? Can your clients relate to you despite cultural differences? Those questions and more were addressed by leaders of top wealth firms and regulatory agencies during FINRA's Diversity Leadership Summit this week.

Advisors must educate themselves on how climate-related risk can impact the lives, portfolios and net worths of their clients — and communicate those risks accordingly.

According to Financial Planning's research, most registered Republicans polled seem to have aligned their personal and business interests, while registered Democrats were nearly evenly split.

Dimple Shah, Osaic head of corporate strategy, said she and other executives expected some advisors to leave during the firm's "Journey to One" and that attrition has been mostly in line with expectations.

Despite most clients expecting holistic planning services, many advisors still don't provide them. And those who do are far from agreeing on how to best charge for them.

The standalone trusts or provisions within other entities can help clients protect assets. Here's why they may need a nudge to speak with an estate attorney about this.

Global crypto exchange behemoth Binance has released a new platform for wealth managers to offer digital asset investments to their wealthiest clients.

Low interest-rate yields, minimum-asset requirements for investing and higher fees brought lower grades for most of the firms reviewed in an annual study.

The case is the latest example of what Ameriprise paints as LPL's systematic overstepping of bounds in its advisor recruitment.