Rochester, N.Y.-based Meliora Wealth Management and Allied Financial Partners are joining an office of supervisory jurisdiction of Securities America from Cambridge Investment Research.

A New Jersey woman claims a broker with Wells Fargo Advisors Financial Network used proceeds of her late husband's life insurance policy to invest in speculative options and volatile non-income-producing individual securities such as Facebook.

The fate of the ballyhooed Bakkt project is in the hands of state regulators now.

Once the deal closes, Broadridge’s Matrix subsidiary will become one of the largest independent service providers of custodial and sub-custodial solutions with about $420 billion in assets under administration and more than 118,000 plan accounts...

Morgan Stanley gets about half its annual revenue from wealth management, which helps it ride out weak periods for trading and investment banking.

Morgan Stanley’s wealth-management unit had revenue of $4.39 billion, up slightly from a year earlier.

The proposed regulation would make the Garden State one of the first in the country to enact a uniform fiduciary standard for financial advisors.

At the request of members, the new plan for the Financial Planning Association's restructuring will allow chapters to maintain their legal status and autonomy.

There are five roles on the career path to becoming a financial planner: analyst, associate advisor, service advisor, lead advisor and partner, according to the CFP Board.