The firm currently has five investment programs: the Advisory Solutions mutual fund wrap program, the Guided Fund and Guided Flex rep-as-advisor programs, the FA Managed Solutions advisor-discretion ...

Eliezer Mishory, the former chief regulatory officer for derivatives exchange firm Kalshi who now heads the DOGE team at the SEC, requested access to staff emails, personnel data, contracts and ...

Estate planning startup Wealth.com says it is partnering with financial planning software bulwark eMoney Advisor to give Wealth.com's roughly 800 wealth management firms access to eMoney data and ...

Wells Fargo 's wealth and investment management unit saw its earnings drop significantly from the last quarter of 2024 to the first quarter of this year, despite cost-cutting measures, but ...

The CFPB, set up in 2010 in the wake of the 2008 financial crisis in large part to protect consumers from predatory financial practices, will slash inspections of financial services firms in half, ...

LPL Financial is channeling restaurateur Will Guidara 's concept of "unreasonable hospitality" to elevate its service, said Chief Executive Officer Rich Steinmeier, charging an ever-expanding roster ...

The Securities and Exchange Commission has refused to revisit settlements it reached with Raymond James, Ameriprise Financial and LPL Financial, among other firms, over their employees' use of ...

Schwab Alternative Investments Select, created in partnership with iCapital, is now open to retail clients who have more than $5 million in household assets parked with Schwab, including those in the ...

Merrill Lynch has been awarded a total of more than $1.3 million in a clawback action against one of its former financial advisors who jumped ship for Rockefeller Capital Management.

The GAO's agreement to probe the SEC comes at a time of a major overhaul at the agency under Acting Chair Mark Uyeda, appointed in January by Trump to take over from former SEC head Gary Gensler.

Ameriprise last week sent a "Notice of Data Breach" to thousands of current LPL customers whose financial advisor switched to LPL from Ameriprise between 2018 and 2020, according to a complaint filed ...

Disagreements among GOP ranks have also flared among deficit hawks and some Senate Republicans resorting to "a new budget gimmick" to obscure the full weight of the taxes by financing certain ...