See a breakdown of the largest brokerage firms -- and the percentage of CFPs in the total adviser force.
Long-term care insurance is considered a valuable benefit by employees, but advisers seldom share their enthusiasm.
For Tori Fontenot, the clarion call to consider long-term-care insurance for herself and her husband came as she tried to coordinate care for her elderly mother.
Self-funding would give the regulator a fighting chance of keeping up with the growing number of investment advisers
The U.S. Securities and Exchange Commission didn't conduct a meaningful probe of indicted money manager R. Allen Stanford until 2005 even though examiners suspected him of operating a Ponzi scheme eight years earlier, an internal report found.
Florida measure empowers state to revoke licenses of brokers who have run afoul of various agencies
How did Canada avoid the worst of the banking crisis? "Generally speaking, Canadians are more conservative," Fred Tomczyk, president and chief executive of TD Ameritrade Holding Corp., said in an interview Monday.
Investment advisers' confidence in the financial health of the insurance industry — though still underwhelming — is on the rebound, according to the <i>InvestmentNews </i>2010 Insurance Product Survey.
The economic recovery will continue; we do not believe that the economy will endure a double-dip recession. Growth levels should remain positive for the time being, although the pace of growth will be slower than that typically associated with recoveries.
TD Ameritrade Institutional attracted more breakaway brokers in the last nine months than it did in all of its 2009 fiscal year, company executives said last week.
Despite expectations that interest rates will remain near zero for another year, the interest-sensitive TD Ameritrade Holding Corp. plans to invest $30 million in technology and “client-facing” activities in fiscal 2011.
Among other things, GAO charged with examining professional standards that currently govern planners and advisers
The Senate financial-reform bill introduced by Sen. Christopher Dodd, D-Conn., tackled a lot of difficult issues, made some tough decisions and punted on a relatively easy one — requiring financial professionals who give investment advice to accept fiduciary responsibility.
David Dreman, an iconoclastic value fund manager, has eliminated a significant portion of his staff at his investment management firm as it looks to reduce costs, an executive confirmed today.
Stocks were set to extend their September rally into a fourth week Monday as traders eye the Federal Reserve's meeting later in the week.
Brokerage firm Wunderlich Securities Inc. plans to buy five RBC (U.S.) Wealth Management offices in Michigan and Ohio with 21 retail brokers and about $700 million in client assets under administration, the firms said.
Tearful, angry victims of a $77 million Ponzi scheme that targeted hundreds of often working-class Italian-Americans crowded into a Chicago courtroom Thursday to tell their stories before a judge handed the convicted swindler a maximum 23-year prison term.
Concern that stocks will plunge has never been higher in global options markets, and that may mean it's time to buy.
Last month, the Financial Industry Regulatory Authority Inc. shut down APS Financial Corp. for overcharging clients $1.3 million for bond trades in 2005 and 2006.
