But a new FINRA rule making it easier for state regulators to oppose expungements could solve some long-standing problems.

The former Morningstar executive discussed the drive to start the company, how they have been using artificial intelligence, their philosophy on integrations and their upcoming inaugural conference.

Proposed changes to the Uniform Business Practices Rule conflict with Reg BI, will increase costs and decrease choice for investors and financial advisors, writes Cetera’s director of regulatory affairs.

Savvy Advisors adds a former LPL advisor as the venture capital-backed firm steps up recruiting efforts.

Rudy Adolf is the last remaining founder to leave his executive role in the wake of Focus’ sale to CD&R.

The firm has also launched a new capital solutions program, as it kicks off its annual ConnectED conference this week.

Rockefeller Global Family Office has announced its fourth recruit in three weeks, while Freestone Capital Management attracted an advisor from another RIA.

New digital securities-based lending program is "a game changer" for clients who need liquidity, one advisor said. Expect more banking services for wealthier clients to follow, according to Schwab executives.