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The dismal morale among UBS brokers seems to be improving of late. A number of top financial advisors at the firm say that they are so far very pleased with the leadership of UBS Wealth Management CEO Bob McCann, and the team of people he has...

Charles Goldman, the president who oversaw Fidelity Investments’ services for financial advisors, will leave at the end of March, the second top manager in a week to depart from the mutual fund giant. Also exiting Fidelity is the company&...

A Pennsylvania court weighs in on a former wrestler’s bid to unseal the records of du Pont’s incapacity hearing so as to peer into his trust documents

LPL’s hybrid RIA platform got a strong start in its first full year in operation, and LPL says 2010 will be an even bigger year.

Affluent investors rated Charles Schwab the number one “distributor” or brokerage firm, bumping Fidelity into second place, according to Cogent Research’s recently released 2010 Investor Brandscape report.

Charitable lids now should be at, or near the top of many wealthy families’ to-do lists in 2010—but only if there’s an estate tax this year

What's wrong with the hybrid model --- being both a Series 7 and IAR of an RIA? Citi Personal Wealth Management advisors want to know.

Wells Fargo financial advisors received their first paychecks last Friday under the firm’s new tax withholding system, which applies a flat rate of 25 percent to all. Many of the firm’s 12,000 financial advisors have grumbled to...

InKnowVision has a spreadsheet-based software that helps wealth planners look at irrevocable life insurance trusts

Each December analysts at Raymond James pick a list of stocks its will likely “produce above-average price appreciation over the next 55 weeks.” This year’s list contains 14 stocks that Raymond James analysts say should somehow...