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 ...

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

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

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.

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 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 ...

Raymond James' recruiting efforts are benefitting from industry mergers and acquisitions, according to Chief Executive Officer Paul Shoukry. Contact the reporter: sdelrowe@money-m ...

Wealthspire 's Fiducient Advisors is set to acquire a large investment advisory firm that will significantly bolster its presence in the Pacific Northwest. Cetera said it lifted a pair of experienced ...