Wake Forest University and Kaplan will begin offering designation and other courses aimed at financial services professionals at the university's new fintech hub in Charlotte, N.C.

UBS and Bloomberg are pushing the success of 'Girls Take Wall Street' past Manhattan and into other major cities, such as Sao Paulo, Zurich and Johannesburg.

A new partnership gives Dynasty’s network firms a way to improve asset retention and consolidation.

Sanctuary Wealth is seeking to build a $200 billion powerhouse with the help of breakaway advisors.

Antonia Chion spent 32 years with the SEC, and most recently helped supervise a settlement with Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network that included a $35 million penalty.

With uncertainty around how custodians will service smaller advisors going forward, shuttering the RIA and affiliating with a larger platform seems to be a better option for many sub-$150 million advisors.

The commission said Wells Fargo failed to properly train and oversee brokers and advisors who didn't understand the ETF was not designed for long-term buy-and-hold investors.