Industry

The two firms used to be affiliated through the same back-office provider, CapTrust Association. The merger creates a firm with $243 billion in client assets and 34 offices nationwide.

Find out the value of your firm online, Angelo Alleca sentenced in fraud scheme and Hightower adds a team in Georgia.

A bank-based broker takes Citizens Bank to arbitration for failing to meet some lofty recruitment promises, and wins $1.5 million. Now others are making similar claims against the bank.

Dozens of tips over three years were passed from an ex-Bank of America consultant to his girlfriend's father.

How to start a newborn on the road to retirement, VanEck files for a bitcoin ETF, and eMoney opens a Rhode Island office.

Girard is the latest firm to deregister its broker/dealer and join a larger firm as an OSJ, shedding regulatory and operational burdens. The DOL rule was the tipping point. "I don't know how in the world we could have done it as a small firm."

The independent broker/dealer's 4,400 advisors are expected to make the transition to Fidelity's clearing platform in mid-2018.

This is Mercer’s eighth acquisition in the last 17 months.

Broker/dealer executives aren't comfortable with their firms' cybersecurity, Schwab survey finds everyday financial stress is a detriment to retirement planning, and Natixis' Managed Portfolio Advisors builds a flexible UMA platform for Securian...

The deal brings another 3,200 advisors to the nation’s largest independent broker/dealer, and it’s the latest in a trend of insurance firms exiting the b/d business.