Financial advisors whose younger clients hope to catch up with their savings via wagers on prediction market platforms may want to point out recent studies showing that very few people make money off ...

Ex-LPL FA Benched over Undisclosed Work for Streaming Co.

The LGBTQ+ community faces unique considerations in estate planning, health care, parental rights and relationship structures that call for financial advisors to be especially curious — and to listen ...

Ex-FA Ordered to Pay $1.4M over Alleged Fraud ...

Rockefeller Capital Management's wealth management unit, the Rockefeller Global Family Office, has added a financial advisory team in Houston, a spokesperson confirmed.

Morgan Stanley Investment Management has launched a new government money market fund where issuers of stablecoin — the dollar-pegged digital asset — can invest the reserves required to back their ...

Solicit Case; Judge Rejects Alpine’s Challenge to Finra’s Authority; Ex-CFA Exec Facing Prison over $6M Embezzlement; LPL Da ...

Hightower is acquiring one of its affiliated practices, The Bahnsen Group, which joined the Hightower network more than a decade ago.

Raymond James announced that it has added a financial advisor duo that oversaw more than $225 million in client assets at LPL Financial.

Hybrid registered investment advisory firm &Partners, which was launched in 2023 by former Wells Fargo Advisors executives and has regularly tapped its Wells roots for advisor recruits, has been ...

Stifel Financial 's sale of its independent advisor business to Equitable Advisors closed during the first quarter of this year, providing a nearly $50 million bump in revenue, according to the ...

The Swiss government's proposed rules for UBS, while offering some compromise, will still require the Zurich-based firm to hold $20 billion to $22 billion in additional capital, a move that the ...