The end may be near for John Thomas Financial, the brokerage run by Tommy Belesis. The B-D's clearing agent sent out a letter to clients saying the firm is in in violation of net capital rules.
Said to be moving his brokerage out of its current Wall Street location
New Mexico 529 gets a revamp; changes include commodities, real estate and special minerals funds.
Nearly $15 billion into 529s in '12 but performance lags mutual funds.
Those who followed the adage missed a 7% increase in the S&P 500 since April 30
Flood of questions uncover common misperceptions.
LPL is putting an end to do-it-yourself compliance at one-person shops. The sitting down on stand-alones comes with a price, too: Small shops will be forced to pay higher fees in 2015.
Less than a month after getting hit with the largest Finra fine ever for e-mail compliance failures, LPL has hired a former SEC official as its general counsel. The CEO says the two are not related.
Charities focus on child protection, nutrition, education and genetic disorder NF.
The Financial Planning Association today announced has enlisted the help of the Foundation for Financial Planning to coordinate its members pro bono efforts.
Know an adviser who is making a difference in the community? Submit a nomination form for this year's Community Leadership Awards.
Group from Connecticut has $3.7 million annual production.
Two units — advice and wealth management — powered Ameriprise's second quarter results. <i>Plus: <a href="http://www.investmentnews.com/article/20130724/FREE/130729960">What happened to Raymond James in the quarter?</a></i>
Nationwide survey shows younger investors in particular are skittish
RJ exec says putting clients' interests first crucial when dealing with complex offerings
Colorado-based adviser seeks to make the organization a home for brokers moving to RIA.
Mary Beth Franklin unwraps the puzzle of Social Security claiming options for married couples.
