Berthel Fisher among firms that have lifted suspension, but others housing 29,000 advisers confirm they haven't.
Senate OKs legislation to make it easier for insurance agents to become licensed to sell insurance in multiple states.
Firm now focused on hiring advisers from larger companies, even wirehouses, as it shifts away from acquisitions.
Proposal would hike investment taxes — and impose a transaction fee — but cut taxes for households under $200,000 income.
The case study of a family with complicated needs in the wake of a big sale
Nontraded energy BDC provides funds for exploration and drilling.
Failing to supervise research analysts and their handling of material non-public information at issue, Finra says.
California-based Valley Wealth is firm's third – and largest – acquisition this year.
Can Goldman Sachs put ETF investors on a liquid diet?
A group of big companies release an economic study aimed at preserving tax incentives, which may be on the table during budget negotiations on Capitol Hill.
Finra accused Bambi Holzer of lying to one of her former broker-dealers in sales of Provident Royalties deals. Now she's barred from the securities industry. Bruce Kelly has the story.
Youn adviser's first year in the advisory business has cemented her resolve to become a full-fledged financial adviser, even if some things are taking more time than she expected.
About eight months into his tenure at NorthWest Financial Services Inc., adviser's been putting his tax know-how to work.
Untested approach compared to adding cyanide to cupcakes
Six years into the bull market, losses booked from the financial crisis have all been used up. Owners of actively managed funds may see some damage.
Dual registrants are a key driver of growth for the segment, which holds 20% of assets today, the research firm said.
Paul Krugman is skeptical of the consensus for a rate hike. <i>Plus:</i> The risky downside of oil's slide, passive investing all the rage, Congress actually does something, Americans turn bullish.
Advisers have reason to want a change in how congressional decisions affecting their businesses and clients' finances are made.
Advisers are missing many opportunities to expand their practices and serve their clients, but they could capture these by creating deeper relationships with their clients, according to Anthony DiLeonardi, managing partner, Third Quarter Advisers.
