A new health insurance tax credit could hit some small financial advisory firms in their sweet spot — but only if they fit a specific profile
Last year, many financial advisers worked with clients to implement Roth conversions
Republican leaders in Washington should stand down in their efforts to block the revival of the popular Build America Bond program
National Securities Corp. is the latest broker-dealer to face disciplinary action from Finra over the sale of private placements gone bust
Charles Schwab aims to attract smaller RIAs by expanding its retail network
QA3, the brokerage founded by Steve Wild, is closing its doors on Friday, according to an internal e-mail. Recruiters, who have been flying lazy circles over the firm, are now descending on the B-D -- and its highly prized 400 registered reps.
Independent broker-dealers depend on hiring new advisers to keep their businesses growing -- and in 2011 they're likely to ramp up recruiting in the first half before the onset of new Dodd-Frank rules, according to an <i>InvestmentNews</i> analysis.
Among the largest independent broker-dealers, Commonwealth Financial Network has the highest concentration of financial advisers who produce more than $500,000 annually, according to InvestmentNews <a href=http://www.investmentnews.com/section/broker-dealer-data>data. And it's reached the top by getting people out the door: Namely, its advisers.
A cash strapped independent broker-dealer that sold $65.3 million in high-risk oil and gas private placements is seeking to combine 36 separate arbitration claims and lawsuits as part of a class action settlement
Oracle of Omaha says rich folks should pay more in taxes; 'we have it better than we've ever had it'
Carrier rejiggers pricing and products due to low interest rates; 'small window' for rivals
Warren Buffett, who amassed the world's third-biggest personal fortune through decades of stock picks and takeovers, told CNBC his worst investment was the textile mill that gave its name to Berkshire Hathaway Inc.
Brokerage firm Edward Jones this week announced that it plans to add up to 20 branch offices to the more than 60 it has in the state of Utah.
President's budget would end break on corporate-owned insurance; dividends-received reduction also targeted
The taxman enforceth — now more than ever. Here are a few simple suggestions to stay out of harm's way.
Prudential once again has pulled back on the living benefits in one of its most popular variable annuities
Genworth Financial Inc.'s decision to leave the variable annuities business could herald more departures by other peripheral players this year.
Group still 'kicking the tires' on MetLife annuity; offering is popular with firm's reps, however
LPL Financial soon will unveil to its representatives an expanded menu of fee-based VAs — a product that has proved unpopular among brokers so far.
American workers and retirees are more hopeful about the economy now than they were in the third quarter, but both groups remain worried about their own finances, according to a survey released today.
