CFP John Chrin runs as a Republican for a House seat in Pennsylvania; Neal Simon, CEO of an RIA, seeks Maryland Senate seat as an independent.
Microsoft co-founder's holdings akin to 'a major corporation.'
Agency to consider 'regulatory options' by September, same deadline for SEC's advice rule.
Departure by Retirement Benefits Group comes on the heels of IFP's decision to start up its own broker-dealer.
In a Finra arbitration complaint, two brokers allege that Wells Fargo's problems damaged their business.
Whether you know it or not, you have one — and your style says a lot about you.
The bank sees the technology, built in partnership with Marstone, as the key to its U.S. growth strategy.
Service providers are getting pinched by fee compression.
Advisers can use the Integration Xchange to browse Fidelity APIs and third-party tools.
There's still disagreement over whether disclosure and informed client consent are enough to satisfy a fiduciary's obligation to act in the client's best interest.
Third-quarter wealth management revenue was $4.4 billion, even as adviser workforce slipped 1% from last year.
The purchase of FCE Group continues Captrust's strategy of boosting its wealth management business.
Broker alleges he was cheated out of $200,000 in compensation protected by ERISA.
She said lawmakers may have to change 'solely incidental' language that lets brokers give advice.
New business will make digital assets available to hedge funds, family offices and other institutional investors.
To mature into a strong safety net, plans need to be able to deliver guaranteed lifetime income.
Document suggests the proposed SEC advice rule is too weak.
So far in 2018, Merrill Lynch has seen the best performance in this area in the last five years.
To avoid a run-ins with regulators, advisers should run posts by a compliance team.
