More than two decades old, the NFLPA's registered player financial advisor program for years was limited to individual financial advisors.
John Peluso retired in September as head of Wells Fargo’s clearing operations, and earlier presided over FiNet.
Minority shareholding could be worth as much as $2.5B.
HPS Investment Partners could go public if equity capital markets look favorable.
The securities industry has a long, sad history of firms going out of business after a product like GWG bonds fails.
Jeffrey Olsen oversees nearly $200 million, operating as Olsen Wealth Management.
Jim McHale is the new chief compliance officer at LPL Financial.
Attending to advisor well-being, starting with onboarding, helps advisors weather the inevitable storms that come with managing other people’s money in an unpredictable world.
The Avantax team comprises 3,111 financial professionals.
The team, which is rebranding as Momentum Wealth, is based in The Villages, Florida.
The recruiting data show advisors' preference for operating under independent models.
'It's supervision by Zoom,' PIABA says, while Finra says the new rules reflect hybrid work arrangements while protecting investors.
'Ironically, I think the redemption issue is the best thing ever happen to nontraded REIT space,' says Kevin Gannon of Stanger.
The Wall Street firm is working on an overhaul of its wealth business structure.
'The strategy involved frequent in-and-out trades that placed the broker’s interest in generating commissions and fees ahead of the customers’ interest in making a profit,' the SEC order states.
Thousands could be affected as bank slashes positions.
Expenses are rising: LPL Financial said in October that its core general and administrative expenses were up 15% year-over-year.
Hank Paulson-appointed regional boss abruptly out.
Advisors who custodied at TD Ameritrade are adjusting to life under Schwab.
The regulator's settlement with the US unit of Canadian firm relates to sales of Canadian private placements.
