Industry

How decades of groupthink may be the bottleneck for gender, ethnic and age diversity in wealth management.

Scott Curtis, the president of Raymond James Financial Services, was tapped to oversee all of the firm’s domestic advisory business.

Nine out of 10 female advisors who say they have a good work/life balance said they would “definitely recommend” their firm to others.

The brokerage’s mobile app is looking more like a bank’s—and offering services customers have gone elsewhere for in the past.

Six fiduciary groups have joined forces to try and ensure the SEC makes the difference between “advisors” and “brokers” explicit when setting standards of conduct for the industry.

The Securities and Exchange Commission plan approved for public comment on Thursday would make it easier to bring new ETFs to market by laying out formal steps for setting up less-complicated funds.

Commonwealth names a new president and COO, one survey finds financial advisor is the most in-demand job in finance and accounting, and Voya advisors can now offer securities-backed lines of credit.

Brian McIntyre, who worked in the self-regulator’s New York office, said FINRA mostly sought to terminate older workers in a September wave of firings.