The SEC has been cracking down on disclosures surrounding payments by funds to broker-dealers and RIAs. The agency launched an initiative in February 2018 to target advisory firms that recommended high-fee mutual funds.
Two Truist advisers make the move in Bedford and two in Charlottesville.
A group of three reps in Lincoln, Nebraska, makes the move.
The panelist referenced the popular musical 'Hamilton' by Lin-Manuel Miranda, saying that diversity needs to be in 'the room where it happens.'
Peppi Talley and Jessica Hall are joining the firm’s employee unit in Birmingham, Alabama
Regulators said brokerages should not only tell reps what Reg BI says but provide examples of how to meet its requirements.
RPAs with strong wealth management businesses and leadership will command a premium price, among other factors.
Claudia Cypher Kane was tapped as the Financial Planning Association's 2022 treasurer; the group also elected three new directors.
The InvestmentNews event held Tuesday in New York City highlighted top firms and individuals consistently working toward a more equitable and inclusive profession.
Wealth Advisory Services, a hybrid in Doylestown, Pennsylvania, had been affiliated with Raymond James for five years.
Invest in Others' Community Service Award winner is Roger S. Green for his work with Auditory-Verbal Center Inc.
A free meal can help win new clients, but some advisers say the prospecting strategy is dated and projects a bad image.
A NASAA exam sweep shows that more than half of advisers lack policies and procedures to address exploitation of elderly clients.
It seems as though the pandemic should have provided the motivation for advisers to address their continuity needs.
Invest in Others' Catalyst Award winner is Ralph Ujano for his work with Helping Hands for Single Moms Dallas.
The wealth management chief at BMO Financial will succeed Kathy Murphy, who plans to step down before the end of the year.
The broker, Shaiful Chowdhury, was arrested for possession of 10 pounds of marijuana a month after he joined Merrill Lynch in New York City.
The more individually tailored a communication to a customer is, the more likely it is a recommendation, SEC Commissioner Allison Herren Lee said during the NASAA fall meeting.
James Katz tailors his RIA, Humankind Investments, to serve clients who place the greater good at the top of mind.
Carrie Turcotte and Crystal Walker run NorthShore Financial Strategies in Chattanooga, Tennessee.
