Wealth management

A fundamental role in the securities business is changing — and there’s no going back.

Many firms default to secretive end-of-year subjective processes to assess compensation. There’s a better way. Fiduciary Network’s Yvonne Kanner offers 9 strategies to fairly reward and keep employees.

Demand for global dividend ETFs has picked up.

Among the measures commission officials say they're working on is a third-party examination framework.

Anthony Kelly, the new co-head of the SEC’s Enforcement Division subunit, looks to reassure CCOs.

Complications when using IRA investments to hold master limited partnerships; plus, minimizing taxes when clients are no longer on the payroll, and a smart RMD investment strategy.

Who’s making what? FA Insight breaks down advisor compensation.

Each type of account has its strengths so clients who can contribute to both will make the most of the benefits; plus, the advantages of downsizing.

A veteran who worked as broker and recruiter for 20 years joined Securities America’s branch office development recruiting team.

In a 2010 interview with Bloomberg News, Gutfreund said he didn't have many regrets in life. "If I should have been a saint, I would have been," he said.

One adviser goes head to head with the fund giant on fixed-income investing, managed payout and global bond funds, and the best solution for cash.

Every firm, no matter how small, needs a sales strategy. Here are three essentials in creating one.

The federal government's failure to pass adequate measures to address the looming retirement crisis may prompt states to create their own programs, one researcher writes; plus, can clients have two 401(k) plans at the same time?

A retirement trust used as the beneficiary for IRAs can ensure clients leave enough behind for their kids.

These entrepreneurs made the leap into finance from different places, but they share a common mission: robos for women, by women.

Voices: Moving from a commission account to a fee-based account with an additional risk tolerance questionnaire does not equal sufficient Know-Your-Customer or suitability measures.

Firms should strike a balance between modernizing tools and maintaining client service, says Michael Paley, chief operating officer of Klingman & Associates.

Will golden handcuffs keep planners, or have they had enough?

The recruit who joined the Raymond James-affiliated firm also is one of the single biggest producers to join the regional's independent channel.

The advisor also beat back Wells Fargo's $200,000 in claims for breach of promissory note.