The former UBS chief was named co-chair of recently rebranded NewEdge Capital Group.
Matthew Clason was registered with Lincoln Financial Advisors until 2016, when he moved his registration to LPL Financial.
Fieldpoint Private will remain a private bank, and, as part of the new transaction, will offer its banking capabilities through the Summit adviser platform.
The combination of Seattle-based Laird Norton and San Francisco-based Wetherby Asset Management creates a firm with $15 billion in client assets.
The settlement stemmed from potential claims related to Merrill's "management and oversight" of brokerage accounts opened by the owner of Jay Peak, the failed Vermont ski resort.
National Securities Corp. and Calton & Associates Inc. reported increased expenses in light of potential legal costs.
Despite last year’s riot at the Capitol and a variety of lethal Covid-19 variants, the broad stock market roared, which is always good news for financial advisers and their firms.
Advisers like the autonomy of working from home and don’t want to have to go back to the office and wear a suit again.
Emerson Equity and Triad Advisors reached end-of-the-year settlements related to complaints about poor supervision of certain mutual fund sales.
Elite Financial Network has 32 financial advisers in its network across California.
