Eight Kansas reps will affiliate with the independent unit of Raymond James through Beyond Wealth Advisors.
Starting in 2022, the Thrift Savings Plan will offer a new mutual fund window that will include ESG funds.
Finra also censured the firm in connection with privacy breaches that occurred during transfers of new clients.
The former executive at Goldman Sachs and AIG will head the firm's new investment effort, Kestra Investment Management.
A lobbying group for PE firms is rolling out ads targeting 25 members of Congress to try to protect the carried interest tax break.
Virginia, Maine and Alabama recently adopted rules tracking the model ‘best interest’ measure approved in 2020 by the National Association of Insurance Commissioners.
The fee-based products will be part of Halo's digital platform, which also offers structured notes, market-linked CDs and buffered ETFs.
There are now almost 14,000 RIAs registered with the SEC, and the number of clients they serve grew 17% in 2020, to 60.8 million
A conversation with Bob Smietana of the Religion News Service looks at how born-again-Christian and radio host Dave Ramsey fits into finance and religion. Sonya Dreizler joins Jeff and Bruce to chat about some of the challenges women face in the financial advice industry and how industry conferences can help.
Steven Carlsen and Sathya Chey are forming a firm, Arise Private Wealth, in Rolling Hills Estates, California.
