How can I find a certified financial planner (CFP) who is not associated with a brokerage house? I want truly independent ...

In the future, will people have relationships with their financial advisors or with the advisors’ broker-dealers, custodians and other affiliated businesses? It’s an uncomfortable question. Clients ...

Financial advisors affiliated with a broker-dealer are far more likely than other advisors to say they will definitely leave their firm this year. Processing Content That was among the findings in ...

The Financial Industry Regulatory Authority (FINRA) is once again proposing changes to how broker-dealers supervise some of the work of advisors registered with independent broker-dealers, touching ...

What does this Advisor Specialize in? Find a financial advisor who specializes in the area of expertise you require. It's important to find an advisor who can help you approach your personal and ...

What does this Advisor Specialize in? Find a financial advisor who specializes in the area of expertise you require. It's important to find an advisor who can help you approach your personal and ...

Understand how payment structures affect costs, incentives and transparency when working with financial advisors ...

The North American Securities Administrators Association (NASAA) has approved amendments to the group’s model conduct rules built around the SEC's Regulation Best Interest, according to NASAA ...

The financial services industry has long recognized a distinction between advisors who collect fees for managing assets and brokers who charge commissions for carrying out securities transactions.

Tahnya Kristina, CFP, is the owner of Well Said Content. She has 15+ years of experience in the financial services and investment industries. Katrina Ávila Munichiello is an experienced editor, writer ...

As part of your due diligence, conduct a thorough background check before choosing a financial advisor to manage your investments, retirement or estate planning. After all, you don't want to hand over ...