Sean Khaligh, who joined Wells in 2007, is affiliating with LPL through The Financial Services Network and has formed EQ Private Wealth Advisors in Palos Verdes, California.
Client risk profiles can be messy and complex, and even the language is confusing. Here are guidelines advisers can use to properly vet the tools they use to create client risk profiles.
Just 10 years ago, there was little crossover between securities and insurance, as insurance agents, health insurance agents and Wall Street advisers traditionally stayed in separate lanes. But that has started to change.
Last year, the SEC charged the unregistered adviser at the heart of the matter with defrauding a town in Puerto Rico and misappropriating $7.1 million.
Advisers can use their tech stack to seamlessly track the opportunities best suited for each client and recommend appropriate actions that result in long-term change.
Registered index-linked Annuities (RILAs) are the next logical step in the evolution of our industry. Explore how this relatively new annuity product could help meet the demands of your clients.
A discussion about what to wear on a casual Friday took an ugly turn, according to the former TD Ameritrade employee. CEO Walt Bettinger said harassment is unacceptable, and the firm will investigate the claims.
With valuations of financial planning and wealth management shops at record highs and private equity focusing on the space, it would seem prudent for firms to at least research their options.
Veteran advisers in Oklahoma and Utah affiliate with Cetera through Texas-based Farpointe Wealth Partners.
This month's #AdviserTech roundup includes Riskalyze’s recapitalization, RightCapital’s launch of retirement decumulation tools, Veriti’s crossing $1 billion of AUM, and American Express partnering with BodesWell to return to the financial planning business 16 years after spinning off Ameriprise.
The team, including James Wendling, Steven VanDerSchaaf andClint Allman, have moved to the employee unit of Raymond James in Davenport, Iowa.
The $160 million round is the largest to date for the leading independent robo-adviser. The latest influx will be used to accelerate its business-to-business arms, particularly its 401(k) offering.
Merrill Lynch rolls out a new mobile app for advisers to access all the information on their adviser dashboard via their smartphones.
First Legacy Wealth Management affiliates through JFC Advisor Network. The advisory firm is based in San Angelo and Big Spring, Texas.
The three-person Truist team includes Charles Mintz, Timothy Gray and Wren Mintz, and is moving to the employee unit of Raymond James.
The self-regulator will require brokerages to file retail communications related to the sales of unregistered securities in addition to the offering document.
Advances in technology and the deployment of Monte Carlo in financial planning means these solutions can support advisers creating stronger, more personalized financial plans.
Deep-in-debt clients were hoping for a magic solution I didn't have, and didn't appreciate the advice I was able to give them.
A state judge in Tennessee, where Ramsey Solutions is based, granted a motion to compel Ramsey's deposition in the Timeshare Exit Team case.
Miller Advisors is a mother-and-daughter advisory team based in Kirkland, Washington.
