Mid-sized RIAs who are behind on switching their registrations from federal to state jurisdictions have until Dec. 17 to get caught up.

LPL Financial reported lower profits for the third quarter on subdued advisor productivity, as the markets reopened Wednesday following Hurricane Sandy. Advisors impacted by the storm represent 10-15 percent of the firm’s GDC.

Raymond James Financial and Ameriprise Financial posted mixed results in the third quarter, amid increased spending, offset by market appreciation.

Sometimes, it’s the little things that can drive wirehouse reps to give up on the firm and take their business elsewhere.

Bank of America Merrill Lynch said the brokerage's advisor headcount was flat, while FA productivity declined during the third quarter.

Wells Fargo reported record net income of $4.9 billion in the third quarter, but results in its wealth, brokerage and retirement business were less exciting.

After a period of indigestion following merger activity, wirehouses, comprising of UBS, Morgan Stanley Smith Barney, Wells Fargo Advisors, and Bank of America Merrill Lynch, are nearing the later phases of their restructuring. Executives, such as...

Recruiting into the independent broker/dealer channel has not materialized as people thought this year, but new research from Cogent says that may soon change.