Some in industry fear a data breach that could make list public.
Flows to advisory accounts, while still higher than the start of 2016, dropped off more than 20% from Q2 and were the lowest in a year.
Feucht Financial Group, started as tax-prep service, administers more than $430 million in assets.
Regulator reminds firms of their duty to understand volatility-linked products and supervise how they are sold.
New York-based Paris International started looking for new broker-dealer as National Planning Holdings' deal with LPL Financial came to light.
All 634.403 reps have been ranked based on factors such as prior regulatory disclosures, disciplinary actions and employment history.
New data show firms are bringing up employee advisers like never before.
With most firms operating at or near capacity, firms need to step up their hiring and concentrate on building a workforce for the future.
Half of advice firms have no formal guidance for client service.
As revenue growth dips and salaries rise, nearly 90% of firms are at or near capacity.
Charitable deductions are an incentive to giving and a way for advisers to show their humanity.
Government says cybercriminals have found ways to access life insurance and annuity accounts.
If confirmed, Preston Rutledge would serve as assistant secretary of Labor and head of the Employee Benefits Security Administration.
Losing big deductions, even in lieu of a larger standard deduction, may cause taxes to rise in retirement.
The ERISA Industry Committee is seeking an injunction against the program's new reporting requirements.
Largest cost-of-living adjustment since 2012 may be offset for some by higher Medicare premiums.
The case serves as a reminder to 401(k) record keepers that they may be considered fiduciaries even without exercising discretion over plan assets.
