There are five roles on the career path to becoming a financial planner: analyst, associate advisor, service advisor, lead advisor and partner, according to the CFP Board.

The brokerage industry loves Regulation Best Interest. Investors shouldn't.

Here’s the key to honestly assessing your strengths and weaknesses.

A FINRA arbitrator found that a broker at RBC Capital Markets offered misleading information about the investments made on behalf of an 80-year-old retired secretary and ordered the firm to pay $50,000, plus interest.

The family office model has found new life in the independent space, where the ability to deliver customized solutions is drawing top advisors—and their high-net-worth clients—out of the wirehouses.

The majority of clients are OK with the idea of connecting with their financial advisor on social media.

Woodbridge's former owner and directors of investments were arrested, accused of orchestrating a far-reaching Ponzi scheme that defrauded thousands of investors, most of whom were elderly.