Commonwealth envisions the advisor as the point person in a team of professionals — such as those in trust services, tax planning, estate planning and charitable giving — for high-net-worth clients ...

The IT integration represents one of the key risks in the ongoing integration of Credit Suisse, which UBS acquired in a government-brokered deal last year, the newswire wrote, citing previous ...

Dynasty Financial Partners founder and Chief Executive Officer Shirl Penney was one of many displaced last month by Hurricane Helene and is now implementing measures to keep his firm's St. Petersburg, ...

A third party somehow used Fidelity accounts it had opened recently to access the client data between Aug. 17 and Aug. 19, according to the disclosure filed with Maine state authorities on Wednesday.

An ex– Wells Fargo financial advisor must repay the wirehouse more than $2.9 million he received as a recruiting bonus when he joined from UBS in 2020. Advisor Gary Cattich left Wells for RBC Wealth ...

In addition to the roughly $14.3 million award, 15 other cases against Roberts are still pending, Barron's writes, citing BrokerCheck. The award from earlier this month "appears to be the first of the ...

A recent McKinsey study estimates that more than $30 trillion will change hands by 2030 — and most of the recipients will be looking for a new advisor, Equitable said it found in a survey of 500 ...

Rob Waldner, chief strategist and head of the multi-sector team for Invesco Fixed Income, suggests that with inflation effectively out of the system, and the Fed likely to cut rates below 3.5% by the ...

The Financial Industry Regulatory Authority has barred a former Morgan Stanley financial advisor after he refused to provide requested documents. Robert Anthony Daly, who's been in the financial ...

Individuals can gift income to heirs by naming them as income beneficiaries for a legacy income trust (LIT) or a charitable remainder trust (CRT). The 2024 gift and lifetime exemption is $13.61 ...

Stifel Financial's broker-dealer subsidiary, Stifel, Nicolaus & Co., is on the hook for a total of more than $14 million to two investors over investments in structured notes. The Delucas sought a ...