Eduardo Queen spent seven years at New York-based wirehouse
Citi says MSSB is worth $22B. Morgan Stanley says it's more like $9B. So who's right?
Midsize advisers who haven't completed their switch to state registration from the SEC could have their registrations withdrawn — possibly by the end of the year.
Investment advisers at large mutual fund companies and other financial institutions often operate with conflicts of interest, John Bogle, founder and former chief executive of The Vanguard Group Inc., told Securities and Exchange Commission Chairman Mary Schapiro on Tuesday.
Income enhancement still the biggest draw of VAs, study finds
Because many complex financial products have the potential for sudden and/or severe losses of principal, it is imperative that firms recommending these products document a thorough “reasonable basis” suitability analysis.
Meg Green, who left Royal Alliance for Sterne Agee, says bosses at former parent company AIG 'didn't understand culture'.
Bachus bill denounced at TD Ameritrade conference; momentum shifting?
Many advisers say their greatest allies in learning more about the products and closing sales are their own broker-dealer and the carriers themselves.
GOP presidential nominee Mitt Romney and his running mate, Wisconsin Rep. Paul Ryan, seem determined to avoid talking about details of their tax plan during the fall campaign, creating a vacuum that their opponents are happy to fill with attacks and that retirement-savings advocates can fill with worry. Retirement-savings tax deferrals also could be on the chopping block to pay for the GOP ticket's goal of reducing tax rates across-the-board.
How Social Security calculates spousal benefits. It's more complicated than you think.
As summer winds down and the presidential election looms, financial advisers' thoughts must turn to 2013 tax investment planning for their clients.
Over the past 12 months, investors have poured about $3 billion into currency mutual funds, according to Morningstar Inc.
Advisers urged to get proactive as exclusion could drop to $1 million, from $5 million
