Practice management

The popular online broker-dealer has caught regulators' eyes over its moves into market news, trading in sports games and other events, and a new premium credit card.

Berdina Moore-Bonds alleges that when Morgan Stanley embarked on a reorganization of its regional divisions in 2023, she and another Black woman were the only field leaders to lose their jobs.

Affiliated Advisors aims to recruit, retain and advance wealth management professionals with resources aimed at three different career stages.

As concerns around economic instability mount, more Americans are turning to professional financial advisors to help protect their assets.

The pace of natural disasters seems to be accelerating, prompting taxpayers and preparers to search for ways to deduct catastrophic losses.

Up from $26 million in 2023, Jane Fraser's compensation last year saw the largest increase so far among heads of big U.S. banks.

Advisors reported that the speed with which President Trump seeks to remake Washington in the first few weeks of his second term also had clients on edge.

Every statistic relies on a series of assumptions and other factors. However, quantitative and qualitative responses are still important for prospective customers.

Financial planners don't need to be real estate experts to provide meaningful guidance to home-selling clients while demonstrating the value of holistic advice.

A series of proposals by the Competency Standards Commission could allow up to 10 continuing education (CE) hours to be earned through pro bono service at a ratio of three hours of pro bono service per one hour of CE.

Citi's head of wealth said the firm is already working with a quarter of the billionaires in the world through its private bank. Now it just needs them to entrust it with managing more of their money.

Cary Carbonaro provided a blueprint for wealth management firms and investors ahead of the looming transfer of tens of trillions of dollars in assets.

With trillions of dollars in assets passing to surviving spouses before next-gen heirs, advisors must expand their digital strategy to include women.

The estimate for the amount required for 65-year-old spouses is one of many from a study full of figures that financial advisors can use to highlight the value of HSAs.

Those who invested in quality equipment to produce their podcasts say it has been worth it.

Nearly 80% of the respondents to a recent advisor survey conducted by the asset management giant Blackstone said they plan to recommend more alternative investments in 2025.

The name of the firm signals how she aims for the firm to be something more than a financial advisory company to women who are entrepreneurs and professionals.

In the year ahead, private equity, exchange traded funds and tax-loss harvesting promise to be top priorities for advisors leading the pack.

Those who have taken the time to produce this audio, and sometimes video, content say it's a valuable way to connect to prospects, clients and others in the industry.

Mark Sam Kolta was at National Securities for nearly four years before its sale to B. Riley. While there, he managed to rack up more than two dozen customer complaints that were eventually settled for millions.