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 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 ...