LPL Financial has snagged a top-producing financial advisor team from UBS. Raymond James has pulled an experienced financial advisor from Oppenheimer & Co.

Financial advisors have long relied on the Broker Protocol to facilitate smooth transitions from one signatory firm to another, but legal roadblocks can still disrupt those moves, even when the ...

The Securities and Exchange Commission is nearing a decision on whether to allow fund providers to offer exchange-traded funds as share classes of mutual funds, which could cost wirehouses, ...

Wells Fargo Advisors announced the addition of a sizable team of financial advisors from Ameriprise Financial Services. Raymond James has picked up another financial advisor from Edward Jones.

Wells Fargo Advisors announced the addition of a sizable team of financial advisors from Ameriprise Financial Services. Raymond James has picked up another financial advisor from Edward Jones.

This story originally ran on Deconstructed, a weekly newsletter from Financial Advisor IQ that breaks down news and perspectives on portfolio construction.

A Focus on Connection The path to becoming a financial advisor isn't always direct. For some women founders, that non-traditional route has become a strength. Varied professional backgrounds have ...

This story originally ran on Financial Advisor IQ sister publication FundFire.

Industry groups are nudging the North American Securities Administrators Association to ensure clarity in its planned alignment of its own rules with the Securities and Exchange Commission 's rule ...

UBS is mulling its options in response to the Swiss government's proposal to force the bank to fully capitalize its foreign subsidiaries, but reducing the firm's size isn't on the table, its chief ...

Morgan Stanley notched a win in its ongoing battles with former financial advisors over deferred compensation, with the Department of Labor siding with the wirehouse that incentive compensation was ...

Steady saving and a solid performance in the markets helped drive Americans' retirement savings to new records in the second quarter after falling off in the first, according to Fidelity.