Robinhood, which is serving as the brokerage and initial trustee for so-called Trump Accounts, has obtained an exemption from the Securities and Exchange Commission regarding regular requirements for ...

UBS on Thursday said Rick Penafiel, a longtime manager at J.P. Morgan Wealth Management, will be joining the firm as market executive for South Florida, a newly created market. RBC Wealth Management – ...

UBS on Thursday said Rick Penafiel, a longtime manager at J.P. Morgan Wealth Management, will be joining the firm as market executive for South Florida, a newly created market. RBC Wealth Management – ...

Although open to pursuing acquisitions, Raymond James prefers to recruit financial advisors on an individual basis to ensure that those practices are additive to the firm, according to Chief Executive ...

An Osaic -affiliated office of supervisory jurisdiction and its lead advisor have been ordered to pay a total of more than $2.5 million to a former compliance officer who claimed that she was forced ...

This story originally ran on Financial Advisor IQ sister publication FundFire.

Roughly 40% of workers and 25% of retirees don't know where to look for financial advice, according to a recent EBRI/Greenwald survey.

LPL Financial said Wednesday that a trio of financial advisors in LaGrange, Georgia, joined its broker-dealer and registered investment advisor platform from rival Raymond James. Registered investment ...

The former Wells Fargo security executive who became a whistleblower in the firm's fake-accounts scandal is fighting to restore about $125 million slashed from his whistleblower award under Securities ...

LPL Financial said Wednesday that a trio of financial advisors in LaGrange, Georgia, joined its broker-dealer and registered investment advisor platform from rival Raymond James. Registered investment ...

Arax Advisory Partners said it's expanding its footprint in the Northeast with the addition of a wealth management team formerly with Wells Fargo Advisors. Wells Fargo has poached another ...