Broker-Dealers

Crisis Intervention

by David J. Drucker

B-Ds unveil new programs to help advisors survive the recession.

Advisor Emporium

Fidelity Benchmarks Technology Use Fidelity Investments is launching a Technology Benchmark Evaluator to help registered investment advisors benchmark their use and...

LPL Seeing Explosive Recruiting Growth

The turbulence sweeping the financial services industry is triggering explosive recruiting growth at LPL Financial.

Advisor Emporium

Tool Combines Outlook With Planning AdviceAmerica, based in Fremont, Calif...

Fiduciary Fracas

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Let the food fight begin...

RJF Names New President, CEO

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Raymond James Financial (RJF) has named Paul Reilly, currently executive chairman of Korn/Ferry ...

Brewer Financial Adds Ameriprise Advisors

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Brewer Financial Services on Wednesday said it added four Ameriprise financial advisors...

Securian Completes Capital Financial/H. Beck Purchase

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Securian Financial Group on Monday said it ...

Citigroup To Cut 53,000 Jobs

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Citigroup Inc. said Monday it will slash about 53,000 jobs in an effort to reduce costs...

Citigroup Fined $300G For Lax Broker Trading

The Financial Industry Regulatory Authority said today it fined Citigroup Global Markets $300,000 for not properly...

War Breaks Out For Wirehouse Brokers

by Gail Liberman

The fee-based/fee-only RIA models are the practices of choice for high-end advisors with an entrepreneurial spirit.

Disclose, Baby, Disclose

by Raymond Fazzi

Compliance issues can be a challenge for someone switching from a wirehouse to an independent advisor platform.

Advisor Emporium

Genworth Creates Wealth Management Division Genworth Financial Inc...

The Great Escape

by Mary Rowland

Wirehouse teams find they have a readymade base to go independent.

ADVISOR EMPORIUM

Fidelity Offers Dual Business Platform Financial planners who handle both fee and commission business will have a new platform to integrate their work...

FRONTLINE NEWS

CFP Board's New Conduct Standards The financial advisory industry is always changing, and so are efforts to govern the way it's practiced...

Let's Make A Deal

by Mary Rowland

Many readers told me my April column was off. I'll keep trying if you keep complaining.

Keeping The Record Straight

by David Lawrence

The SEC is looking at adopting standards for electronic record-keeping.

Tough Lessons Ahead For ETFs

by Mary Rowland

Morningstar's Don Phillips likes ETFs, but thinks the business is doing too much trend chasing.