The Financial Industry Regulatory Authority has shortened the time brokers must wait to retake qualification exams after failing them.

UBS brass has discussed several options to move its Zurich headquarters out of Switzerland if the Swiss government's proposal for the bank to hold far more capital isn't watered down, people familiar ...

LPL Financial announced that it has lured a financial advisor team overseeing about $1 billion in brokerage, advisory and retirement plan assets from Northwestern Mutual. A team of Truist financial ...

This story originally ran on Deconstructed, a weekly newsletter from Financial Advisor IQ that breaks down news and perspectives on portfolio construction.

Morgan Stanley 's wealth management division delivered record earnings in the most recent quarter, a surge the firm attributed in large part to its ability to bring in new assets through its initial ...

LPL Financial announced that it has lured a financial advisor team overseeing about $1 billion in brokerage, advisory and retirement plan assets from Northwestern Mutual. A team of Truist financial ...

US Chip Stocks Slide as Inflation and AI Debt Fears Unsettle Investors ...

Wells Fargo and Merrill Lynch are on the hook for a total of more than $4 million over allegations that they charged excessive trade commissions to retail customers.

LPL Financial announced that it has added a financial advisor overseeing about $580 million in brokerage and advisory assets from Merrill Lynch. Indivisible Partners, the Clearwater, Florida–based ...

Merrill Lynch 's return to active recruiting of financial advisors roughly three years ago has gained momentum over the past year and is boosting the wirehouse's assets under management, executives ...

A veteran financial advisor will get a second chance to erase a 27-year-old customer complaint from his brokerage record.

California billionaires have continued pouring millions of dollars into initiatives to block a proposed wealth tax on them ahead of next month's midterm elections, according to Bloomberg. To read the ...