Amy Cooper, who was fired from her job as head of insurance investment, could face up to one year in jail, three years of probation or a $1,000 fine.

Some advisors have questioned the ethics of taking the loans, intended to help small businesses keep their employees on payroll.

The largest percentage of women advisors for any single firm rose from the previous year, but the available numbers paint a stark picture.

This year’s survey results reveal challenges for independent broker-dealers and their future growth.

This interactive tool provides the full collection of data from Financial Planning's 35th annual study of the largest firms in the space.

The regional BD is drawing advisors from coast to coast — even in states where the coronavirus is on the upswing.

They join a growing St. Louis branch that RBC opened in 2018.

Billion-dollar teams are voting with their feet. Here’s where they are going.

The privileged realms of American finance still look much the way they did a decade ago, or even two or three decades ago.

Some say conversations about race have no place in the workplace. We disagree.

A new book could help advisors better grasp the difficulty with the topic of money among underserved client groups.

The advisors defected from rivals UBS and Merrill Lynch.

After logging 27 years at the firm, the advisor is starting his “next 25-year chapter” as an independent.

In both moves, fathers brought their children to work as colleagues.

The industry’s lack of Black people and other minorities may explain why the world of social investing has fallen short on pushing corporations on race.

LPL has reeled in about half of the reps changing their BDs so far this year, but the full RIA channel is also reaping big gains. Plus, other news in the indie space.

Asset manager Blueprint Capital Advisors claims they stole confidential business information and discriminated against the Black-owned firm.

The wirehouse added more than a dozen advisors in the last month managing more than $1 billion in client assets.

Just 5% of its 16,000 employees are Black, according to the company.

The firm employs just short of 70,000 people in 50 countries and had 80% of its worldwide staff at home during the height of the pandemic