Bill St. Louis, a long-time Finra executive, succeeds Christopher Kelly, who had served as acting head of enforcement since February.
Duran's United Capital sold to Goldman Sachs in 2019 for $750 million in cash.
The term is used and misused to the extent that it has lost meaning — but it's not going away, and it could be a mistake to ignore it.
With the SEC preparing to approve a number of major proposals next year, firms face added costs and a huge amount of compliance work.
The ESOP Group, founded in 1989, specializes in working with business owners on the sale of their businesses.
'We see AI as a friend and not a foe' — advisors say technology is driving down costs and allowing them to serve a bigger book of business.
The new firm's pay 'is significantly enhanced from the industry norms,' according to an investor presentation.
This month's highlights include Wealth.com’s launch of an AI-driven ‘legal assistant,’ the Kitces Research AdvisorTech study’s depiction of the industry’s integration challenges, and the crop of digitally native RIAs.
The firm is expanding its focus on wealth management and retirement plan advisory.
Jack Ginter was the president of Wells Fargo's private bank until he left in 2021.
Advisors can bring back 'rational thinking' as study to mark Financial Awareness Day reveals lack of knowledge costs average household up to $5,059 a year.
The Royal Alliance name and brand had been around since 1989.
The firm said it is up 42 financial advisors compared to the first quarter.
But not everyone is a winner – and here’s why.
Clients are less loyal than ever, so how can you boost your share of wallet?
Firm announces its next round of scholarships for those aiming to become RIAs.
Working from home is deeply entrenched in the psyche of many leaders and firms should take note, Deloitte says.
Outgoing CEO Gorman wants an outcome in which the rejected finalists stay with the firm.
I’m not retiring nor am I leaving – I’m moving into a position that more closely aligns with my skill sets and passions.
As a practice grows, it's harder to make sure that everyone on the team understands what's important to the firm.
