National Planning Holdings, Inc., the nation's seventh-largest independent broker-dealer network, said today it boosted sales by 20.5% in 2007, to more than $14...
It's hardly a national tragedy, but the number of new millionaires produced in the U.S...
Investment manager Lord Abbett is expanding its reach within the broker-dealer space by increasing the number of wholesalers serving this market. The Jersey City, N.J...
Assets in the Fidelity Advisor 401(k) platform leaped 26% in 2007, to $21.1 billion. The number of new plans that were funded jumped 21%, to a record-high of 516 plans...
The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) have announced the dates and have begun registration for the 14 regional CCOutreach...
TD Ameritrade has teamed up with FundQuest to offer a new managed account platform to independent registered investment advisors...
The Securities and Exchange Commission today filed civil fraud charges against two people who bilked millions of dollars from investors-particularly seniors-by hawking a get-rich-quick stock...
Five of the nine board members on the CFP Board's Discipline and Ethics Commission (DEC) resigned in protest early Saturday evening after they were informed of changes to longstanding DEC...
Fidelity Investments this week introduced a consulting platform and an online marketplace service as enhancements to its practice management program for registered investment...
Better client relationships-and more referrals as a result-can be achieved by financial advisors who actively engage their clients in the investment advice process, says a survey...
Sanders Morris Harris Group Inc...
Financial advisors aren't an optimistic lot these days, according to Schwab Institutional's semi-annual survey of independent registered investment advisors...
Citigroup shares sank 5% as of early afternoon today, in part due to Merrill Lynch cutting its 2008 earnings estimates for the troubled financial company...
Shareholders Service Group (SSG), a brokerage and custodian firm for independent registered investment advisors, today announced it signed an agreement to buy the brokerage business of EAInvest...
Separately Managed Account Survey
March 2008 Financial Advisor Magazine
The Financial Planning Association (FPA) is now accepting nominations for its 2009 Board of Directors...
A report released yesterday by the Financial Planning Association found common traits among the most profitable advisory firms-namely, the most efficient practices operate with...
The oldest baby boomers turn 62 this year and can start collecting Social Security benefits, but many aren't sure what benefits await them or how they work...
Vanguard today said it changed the investment advisory teams at some of its stock funds.
M&G Investment Management Limited was added to the advisory team of the $18...
Pershing Advisor Solutions appointed Karen Novak as chief operating officer. She replaces John Iachello, who retired at the end of last year...
