The SEC chairman's comments were the strongest signal to date that he'll push for much tougher rules for special purpose acquisition companies.
A duo from LPL and two Wells Fargo reps are affiliating with the firm’s independent unit.
Humanity Wealth Advisors sets up shop in California’s Bay Area.
Finra found that for 17 years, the firm failed to store 13 million customer records in the required format.
A group of advisers based in Miami are moving to the Raymond James unit.
Brian Nydegger’s Point 32 Investment Partners sets up shop in Westhampton, New York.
President John Carson is retiring at year-end, while Canadian head Paul Allison will become executive chairman.
This week’s episode kicks off with tax management guru Ed Slott giving advisers some solid year-end tax strategies to employ, regardless of where the Biden tax hikes end up. Then Jeff talks with David DeVoe about the pace of record-setting consolidation in the wealth management space. How long can it last, and how much is your firm worth?
The long-term implications of an advice industry in which much of the workforce is remote are only starting to be felt.
The retirement plan consulting firm is partnering with Newport Group on the PEP, which it says will be available to employers of all sizes.
