Leon LaBrecque's deliberate venture into succession planning landed him and his 1,400 clients in a good place.
IBD agrees to repay customers $1.9 million in addition to a $225,000 fine
Arbitration claim accuses well-known adviser of actions that resulted in excessive fees.
The pursuit of talent has advisory firms rolling out structured career training, job skills, even CE credits.
Group will open office for firm in downtown Cincinnati, Ohio.
Floyd Powell received $104,000 in commissions from the transactions.
Bigger cash weightings reveal a preference for safety over returns as the bull market ages
Green Square Wealth Management was formed earlier this year.
Strategic Financial is based in Hauppauge, N.Y.
Enhanced level of accountability is necessary to weed-out bad actors that tarnish industry and harm investor confidence.
Passive mutual funds, ETFs and smart beta funds held $2.93 trillion in assets in Q4.
It's all about convergence, and those who leverage it will reap the rewards
Tackling growing loan burdens sparks bipartisan interest on Capitol Hill.
Surprising opinions on traditional brokerages and digital financial advisers.
One claim involving an in-house stable value fund will move forward.
It's still a seller's market, but potential sellers need to make the right moves to attract buyers.
Increased trading and higher interest rates helped the firms weather volatility, Moody's says.
The <i>InvestmentNews</i> Women Adviser Summit series of day-long business conferences catering to female financial advisers will expand to six cities in 2019
Her position indicates Regulation Best Interest and the larger rule could become final sooner rather than later, but potential litigation looms.
New business is 'harder and harder' to bring in the door, says a senior executive.
