Giving up 48% over 2018 period; last year's giving totaled $5.2 billion.
Finra says three individuals with criminal convictions worked for the firm due to inadequate background checks.
Ernie Garcia was being investigated for altering receipts.
L.A.-based Lido Advisors intends to manage First Western Financial's fund business.
The role includes leading the company's private bank and Abbott Downing.
Michael Garris, who executed 26 unauthorized transactions, was also fined $5,000.
Austin Private Wealth had been affiliated with Ameriprise.
Using cloud-based technology from Box, clients can share wills, estate plans with advisers.
Charton Financial Group affiliates with LPL B-D, will use corporate RIA.
Women who relinquish all financial decision-making to spouses or others, do so at their own peril.
