Echelon executive argues that internal sales can mean taking a valuation hit.
Financial Planning Association sends 85 members to Capitol Hill.
Pershing executive said broker-dealer model has some "challenging dimensions" to it.
Rising interest rates primarily responsible for estimated 50% spike in sales of fixed-rate deferred annuities through 2019, says insurance industry group Limra.
The goal is to bridge a nationwide gap; Only 23% of parents talk to their school-age kids about personal economic issues.
Fidelity report: Money flows in through the largest RIA consolidators and trickles down to create savvier advisory firms.
ACLI, NAIFA say delay in issuing mandate causing 'palpable uncertainty' for industry.
Fintech company is partnering with Josh Brown and MarketCounsel to help advisers go independent.
Finra and at least one state agency have taken disciplinary action against two brokers and an adviser involved in the Woodbridge real estate scheme.
12-advisor hybrid is based in New Hartford, N.Y.
Blake Pokley is the first college graduate hired by LJPR Financial Advisers in 10 years.
Found firm executed unauthorized and unsuitable trades in client's accounts.
Learning and addressing clients' likely emotional reactions to market moves gives advisers the chance to build closer personal connections
Investment expertise is no longer viewed as a coveted service — these days, it's just table stakes.
Shops that do plan administration have been getting snapped up recently, a trend that could disrupt advisers' businesses.
It will likely be another 12 months before the SEC's investment-advice rule takes shape: expert
Annual report also finds voluntary and default savings rates are converging.
Observers say there's fear of potential lawsuits that quash contact with clients when a broker or adviser seeks a new employer.
John Douglas Wade 'converted' funds from clients' accounts for his own use.
New depletion date is blamed on lower payroll taxes, less revenue from taxing Social Security benefits and higher-than-expected spending.
