Practice management

The proposed consolidated database would bring together BrokerCheck and IAPD and include data on unregistered financial professionals across the industry.

The fast evolution of technology has many industry leaders trying to figure out whether robo advisors are a threat, a tool or something else entirely.

The two advisors move between the super regionals.

Overall client satisfaction with investment firms held steady, but the J.D. Power report identified at least one missed opportunity for advisors.

Once known just for CRM, the company has since built out a broader cloud-based suite of tools. Joel Bruckenstein checks out the new offering.

One third of pre-retirees are likely to retire poor or near poor as a result of a significant decrease in employer-sponsored retirement savings plans; Plus, the single most obnoxious retirement fund fee.

Email marketing is stickier than social media and more precise than a blog post. Here's how advisors can get it right.

Wells Fargo's Mary Mack says advisors should embrace technology as the online retailer and companies like Apple and Uber have changed client expectations.

New Hampshire wants LPL to pay $3.6 million in a fine, other costs and restitution, following millions LPL already has paid to FINRA and Massachusetts.

Boomers who fail to create an estate plan will create trouble for their heirs; Plus, three questions to ask before converting to a Roth IRA.

While financial institutions are apt to remain wary of the cryptocurrency and others like it, the industry is ready for more-controllable versions of its distributed-ledger technology, a new report argues.

Tax pros share their clients’ worst ideas about taxes.

As older clients start drawing down their wealth, the industry needs younger investors to ensure its future, says Janney Montgomery Scott CEO Timothy Scheve.

The wirehouse welcomed back Michael Casey after a stint at Morgan Stanley.

Andrew Bowden will return to the private sector after four years of working to streamline the SEC's advisor exam program.

Fidelity's custody unit is backing a deal in which a Mariner Holdings unit will pay 35 basis points for referrals of mass affluent customers.

Conversations with several star execs from the financial advisory sphere reveal insights and action steps that could help other advisors.

Clients can take an early retirement and withdraw from their accounts without paying any penalty if they opt for a substantially equal periodic payment program in their pre-tax IRA and 401(k) plans; Plus, how to navigate Social Security's highways and byways.

A former RBC team that had over $1.25 million in combined production has joined Janney Montgomery Scott.

Focus Financial expand into Southeast with family-owned firm that has $600 million in AUM but no succession solution.