The $75M agreement ends a years-long class-action trial.
More than 22% of its total adviser workforce is now certified by the wirehouse to act as a fiduciary for retirement plans.
Putting clients in expensive share classes instead of lower-cost ones hurts investors, chairman says.
Rivals have picked off some big NPH teams, but LPL said it is getting the lion's share of revenue from the acquisition.
Complement that with client segmentation capturing qualitative and emotional factors.
New home uses Raymond James bank unit as broker-dealer and RIA.
The government had sought a sentence of at least seven years against the former Nick Schorsch colleague.
The number of ESG funds has increased sharply over the past few years, and interest is growing among advisers.
Strategic Partners of Kansas oversees 38 advisers.
Adam Ocner allegedly took funds from branch manager.
The Trump administration review is prompting some retirement plan specialists to hold back on implementing parts of the rule that are vague or challenging.
Mark Lazar in suburban Salt Lake City moves to firm's employee unit.
The 29 deals in the third quarter compare with 45 and 40 deals in the first and second quarters, respectively.
Next generation of financial advisors needs and deserves more attention and training.
Elimination of alimony deduction could complicate future divorce settlements.
A Heritage Foundation event was the latest in a flurry of high-level talks about the embattled SRO
The independent broker-dealer is increasing reimbursement fees for advisers using its strategic asset management platform, or SAM.
Thrivent Financial for Lutherans argues the regulation's class-action provision violates its agreement with clients.
Regulator was looking into email use and unsuitable trading.
California-based Elite Financial Network jumps to Securities America
