Brian Chilton moved to Morgan Stanley instead of Wells Fargo after Credit Suisse closed brokerage business.
Slight increase in Part B premium to $135.50 per month is in line with expectations.
John Halsey Buck III was fired by Morgan Stanley in January over private securities sales
While AI is far away, machine learning has arrived — but few advisory firms have the data needed to make use of it.
The firm lost another 152 advisers in the quarter, and total adviser workforce is down 6.7% in past two years .
It's the largest annual cost-of-living increase in benefits since 2012.
Some customers had a hard time accessing the mutual fund firm's website as stocks plunged.
Former CEOs of eMoney Advisors and Lincoln Financial Network among those replaced with those having ties to the new private equity owner.
Advisor Group broker-dealer picks up Questar Capital from Allianz.
The company settled a similar self-dealing lawsuit four years ago for $12 million.
SEC chairman says quarterly reporting isn't likely to change
Regulator's fines surged to $2.59 billion in the six months ended in September, up from $9.8 million in the first half
Broker allegedly manipulated a client account to maintain his status for working with international clients.
But NASAA said among cases brought against registered entities, the number of investment adviser cases 'significantly outnumbered' broker-dealer cases for the first time.
Finra bars Thomas A. Davis, who worked in Hilton Head Island, S.C., for Wells Fargo Bank.
Company follows in the footsteps of discount brokerages like Charles Schwab and TD Ameritrade that leveraged retail brokerage platforms 30 years ago.
Foundational Planning will be rolled out in January to help advisers create plans for clients with less complex financial needs.
Addition of three veteran advisers brings Baird's 2018 recruiting count to 40.
Colorado firm JBA Wealth Management moves to LPL.
State poised to jump to lead in resisting forthcoming SEC advice rule.
