When the president delivers his State of the Union address tonight, he will make proposals that could change the basic assumptions advisers rely on for wealthy clients. <i>(See also: <a href="http://www.investmentnews.com/gallery/20141231/FREE/123109998/PH" target="_blank">13 crucial state tax changes</a>.)</i>
From barely registering to an integral component
Brain drain at nation's largest IBD continues as top East Coast recruiter plans to take a new position at an insurance company-owned broker-dealer.
Key is to be realistic when trying to get clients to save more for retirement.
Some broker-dealers have resources that help advisers create a bigger pie, not just boost their slice
On Monday's <i>Breakfast with Benjamin</i>, the U.S. economy reclaims the post of global growth engine, though the Federal Reserve remains all quiet on the rate hike front. Plus: How to invest when a rosy jobs report hurts stocks, Goldman picks a list of losers, and millennials go home for financial advice.
Goss Wealth Management switched firms as it hopes to build out a 'wirehouse lite” in the Gulf South region
Broker-dealer to pay $20 million over a failure to prevent suspicious penny stock trading and pump-and-dump schemes.
Friday's <i>Breakfast with Benjamin</i> covers oilfield job cuts coming hard and fast now that the oil boom is sinking. Plus: Ohio-based financial adviser charged in Ponzi scheme, movie industry hopes the Oscar nominees can drive ticket sales, and the time might be perfect to start buying stocks.
Three elite advisers with Merrill Lynch's Private Banking and Investment Group jumped to Morgan on Friday.
One goes to Stifel, the other to UBS. Both had ties to Merrill's elite private banking and investment group that serves ultra-wealthy clients.
With changes to state and federal laws, LGBT couples are confused as ever about financial strategies and would welcome help from financial advisers.
Advisers could earn more deferred pay, but minimum ticket size for payout on equity trades upped to $125.
On 4th anniversary of Dodd-Frank, adviser issues remain unresolved as regulators give priority to other more pressing mandatory provisions.
Andrew Bowden, director of the Office of Compliance Inspections and Examinations, will be returning to the private sector.
New employees have gained confidence, and are starting to work with clients
Research suggests savings increase when people are given a chance to win.
On Friday's <i>Breakfast with Benjamin</i>, average compensation at hedge funds remains gaudy, even with performance down. Plus: Smart beta takes another step out of the shadows, the right way to clean up your portfolio, and the new Congress sets the tone by taking an early swipe at Obamacare.
Nicholas Schorsch is taking a step back from the top role at three nontraded REITs he controls, handing the reins of two to his longtime investment partner. <i>See also: <a href="//www.investmentnews.com/article/20140917/INFOGRAPHIC/140919935"" target=""_blank"" rel="noopener noreferrer">Schorsch's vast web of businesses</a></i>
In battle to recruit affordable talent and assets, Morgan Stanley risks legal fallout to pursue discount broker's advisers.
