Because the barrier to going independent is 'higher than ever,' claims Pershing's Mark Tibergien. He may be on to something.
Finra yesterday began surveying registered representatives and principals about their job functions as a first step in updating qualification exams.
A federal certification would strain resources; some simple approaches help
For some advisers, small is not only beautiful — it is profitable, too
There were 316,812 buy trades placed in the retail-municipal-bond market last month, according to data from BondDesk Trading LLC
Scrutiny over whether broker-dealer representatives are employees or independent contractors is heating up again in California as a bill works its way through the state Legislature that would punish firms for willful misclassification
BondWorks already in beta with 20K customers; new wealth management platform three years in the making
A Fidelity survey of married couples finds that they aren't on the same page when it comes to retirement planning, finances.
Female retirement plan participants appear to display a greater inclination to place assets in target date funds than in target risk funds
With so much attention focused on baby boomers, it is easy to forget about the investment needs of the tens of millions of members of Generation X (roughly 34 to 45 years old) and Generation Y (16 to 33). It turns out that these younger investors aren't confident about investing, and more than half think that working with a financial adviser isn't worth the cost, a recent study found.
J.D. Power & Associates asked customers to rank their satisfaction with their investment advice firm. Who ended up on top? You'll be surprised.
After five years, financial advisory firms move from the startup stage to adolescence, where they are faced with decisions that could affect their business for the next 20 years.
Limiting the size of their practices allows them to devote more time to clients
Mobile program allows for document and content management while away from the office
Mobile banking is the wave of the future and leading the way are forward-thinking Gen-Y consumers.
The story of Kevin O'Brien shows that a broker who gets kicked out of the securities business can find new life in the financial arena — and a very public arena at that.
Latest model to be released in September, sources say; better camera, faster chip
Three years after Bank of America rescued Merrill Lynch, BofA has hit a serious rough patch. Concerns about the bank's mortgage portfolio have welled up again. This week, those concerns drove the bank's stock price below $11. In 2006, it was at $55. The question: what do Merrill brokers make of all this?
As regulators take their own sweet time coming up with guidelines for social media, the marketplace is coming up with its own solutions for financial advisers
Newbridge Securities to pay $850,000 as part of class action settlement
