Many advisors wonder if they’ve reached an age when independence is just a bridge too far.

New Apex Clearing President Tricia Rothschild discusses Robinhood, robos and the move away from products and toward client services in wealth management.

Scott Belous moves from TD Ameritrade's retail brokerage to lead LPL Financial's efforts to improve the end user experience.

Along with the bonus disappointments, Wall Street should also brace for job cuts of as much as 10%.

FINRA, the SEC and the Commodity Futures Trading Commission fined Interactive Brokers for failing to properly support its own anti-money laundering program.

Lantern Investments Chief Compliance Officer Wendy Lanton will help represent small firms on the regulatory agency's board of governors, while Securities America's Jim Nagengast will continue to represent larger firms.

For years, banks and funds have talked about the benefits of bringing in a wider set of perspectives, but the data show they’re still falling short.

Transferring clients' assets from mutual fund and annuity platforms to a broker/dealer's is highly disruptive, involving burdensome new account documents, lengthy processing delays and, frequently, significant incremental costs.