The Financial Industry Regulatory Authority has prevailed in the latest challenge to its power to police the brokerage industry.

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 ...

Citigroup has unveiled an agentic artificial-intelligence tool designed with Google Cloud and Google DeepMind technology, including the firm's AI chatbot, Gemini, and aimed at Citi's wealth management ...

Ex-CFA Exec Facing Prison over $6M Embezzlement ...

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

Ameriprise Financial is focused on a "built, not bought" organic growth strategy, according to Chief Executive Officer Jim Cracchiolo.

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

A data breach impacting 1,581 clients occurred at LPL Financial after several advisor devices were compromised with malware, according to a recent notice from the Office of the Maine Attorney General.

Stifel Financial Chief Executive Officer Ron Kruszewski sees a "significant" opportunity for artificial intelligence to improve advisors' workflows.

The registered investment advisory space had its busiest first quarter on record, setting pace for another record year, according to the latest report from DeVoe & Co.

A former financial advisor in Oregon who has already been charged by the Securities and Exchange Commission is now also facing criminal charges, accused of engaging in similar fraudulent activity ...

Sanctuary Wealth has lifted more financial advisors from Merrill Lynch. Baird has lifted a team of financial advisors specializing in sports‑focused advisory services and institutional consulting from ...