The hires come as Raymond James gained the most assets under management through adviser recruitment of any financial firm in the third quarter.
A little online research can make the difference between a good and bad experience.
Massachusetts' William Galvin charged the nation's largest independent B-D with failing to supervise a top-producing broker who allegedly committed fraud in selling unsuitable VAs.
Robo platforms are lifting client expectations.
Fidelity study finds RIA firm revenue yield fell to 69 basis points last year from between 72 and 73 basis points over the prior four years.
The deal pushes Mercer toward $10 billion in assets under management
Clients can add values for mortgages, 401(k) accounts and even an art collection into their portal.
Life stage transitions trigger newfound needs and create rare windows of opportunity to engage and win over customers.
Trump's campaign manager said people made the mistake of assuming who the electorate was rather than listening to what the electorate wanted. <b><i>(Related read: <a href="http://www.investmentnews.com/article/20161202/FREE/161209978/trumps-policies-could-be-tough-on-emerging-markets-and-ignite-a" target="_blank">Trump's policies could be tough on emerging markets </a>) </b></i>
Bruce S. Horowitz charged big upfront fees but never invested any of his clients' money, the Massachusetts regulator claims.
Both former brokers settled and refused to testify.
Technology spending has edged out spending on business growth as the top priority for registered investment advisers, according to a recent survey.
The regulator said Anthony Mastroianni Jr. churned an elderly client's account at two different brokerages.
There will be a variety of desired and unexpected consequences of the DOL fiduciary rule.
Regulator looking into incentives firms are offering employees to promote bank products of an affiliate or parent company to retail brokerage customers in wake of Wells Fargo scandal.
Only 6% of reps with checkered backgrounds were placed on heightened supervision by their broker-dealers, according to a new report.
Integrated Financial Partners has 135 financial advisers and 20 offices around the country. <b><i>(More: <a href="http://www.investmentnews.com/article/20161118/FREE/161119932/star-broker-ron-carson-is-leaving-lpl-to-jump-to-cetera" target="_blank">Star broker Ron Carson is leaving LPL to jump to Cetera</a>)</b></i>
