"We agree with the need to strengthen the enforcement program," said CFP Board CEO Kevin Keller on Tuesday, responding to a Wall Street Journal report that found thousands of CFP designation holders had customer disputes or criminal charges on...

The story of Wayne McLeod illustrates how, in broker/dealer land, compliance red flags are often ignored when the broker is pulling in a lot of money.

Belvedere Advisors owns Emotomy, an investment advice platform with customizable options that was designed for financial advisors and asset managers.

Lido Advisors, an RIA in Los Angeles, said Thursday it is taking First Western Financial Inc.'s Los Angeles-based fixed income portfolio management team in-house.

Raymond James Financial reports that its advisor ranks swelled to a record 7,904 in its fiscal third quarter while AUM grew 6% year over year to $143.1 billion.

Deal ensures Schwab is the exclusive referral wealth management provider to USAA members, but given smaller account sizes, "we don't see conflicts in this and the RIA channel," says a Schwab executive.

Integrated Partners, the Waltham, Mass.-based financial planning and registered investment advisory firm, has added San Diego-based Mohr Financial Group to its roster of 141 advisory partners.

UBS's advisor ranks are down, but assets are up in the American wealth management unit as the bank focuses on UHNW clients.

Chris Flint has been endorsed by the Financial Services Institute and the Bank Insurance & Securities Association in his attempt to fill a 'Large Firms' seat on the Board of Governors for the regulatory agency.

Hockey brushed off a direct question about whether the move was related to a potential deal with E*Trade Financial Corp.