Joel Drake in Des Moines, Iowa, is affiliating through The Wealth Consulting Group, an office of supervisory jurisdiction.
Employing insights from behavioral finance when putting together the trusted contact form can increase the likelihood a client names a trusted contact, according to a recent report from the Ontario Securities Commission.
The seven-person group will join its Newport Beach, California, office.
Finra has allowed fully remote inspections during the pandemic, and the industry is now encouraging the regulator to make the temporary adjustments into long-term changes.
More than 4,000 advisers and brokers switched firms during the first quarter, up 11% from the first quarter of 2020. RIAs and IDBs continue to set the pace.
The addition of Meridian Group gives the firm a Roanoke, Virginia, footprint
The B-D's $1.3 million settlement with the regulator involves its failure to supervise adequately a complex series of transactions involving variable annuities and whole life insurance policies.
Group will join firm’s Deer Park, Illinois office in Chicago’s northwest suburbs
James Galkowski will open an office for the firm in Rochester, Minnesota.
The six-person Kraner group based in New Jersey is affiliating through INC Advisor, an office of supervisory jurisdiction.
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The five-member team is joining the firm’s Newport Beach, California office
Advisers who enroll in the program will be qualified as experts in digital assets, says RIADAC founder Ric Edelman.
A widow couldn't decide whether to move to a condo or to a retirement community, as her children were urging. She was just stuck.
The financial services firm is back in the ballpark for pay packages to experienced, employee financial-adviser recruits, according to its CEO. Recruiting bonuses are typically in the form of a percentage of an adviser’s annual fees and commissions.
The eight-person Paulson Holman Gatto Group is opening an office in Lake Forest, Illinois.
Professional relationships are evolving. Consumers no longer want an expert proxy making decisions for them, they want a problem-solving partner who can guide them.
Training advisers to be financial coaches or mentors is more appealing to the younger generation. Rather than cold-calling or selling insurance or high-priced annuities, these younger advisers would be contacting 'clients' of their firm with the blessing, and fiduciary oversight, of their employer.
Cedar Brook Group, led by William Glubiak, is based in Cleveland and oversees 20 licensed professionals.
Chad Taylor launches Seapoint Wealth Advisors in San Diego using LPL's services for breakaway brokers.
