In the absence of proper estate planning, there's a risk that LGBTQ individuals' intentions may not be respected.
The broker-dealer self-regulator highlighted a recent government advisory about a ransomware attack and told member firms to brush up on Finra's guidance on the topic from last December.
Thomas Vernor is based in Huntsville, Alabama, and started in the securities industry in 1984 at Morgan Stanley Dean Witter.
Pay equity in the advisory industry might seem like a straightforward proposition. It isn’t.
For advisors, LinkedIn and Facebook were far better for generating interactions than Twitter.
Andrew Komarow was featured in InvestmentNews in May 2021 for his focus on understanding special-needs financial planning.
Both TD Ameritrade and Schwab have been busy addressing migration concerns, but a little perspective would be useful here.
The new partnership with Ascensus is the robo-advisor's second foray into college savings plans.
Regardless, plenty of questions remain about the future of the long-time Cetera executive.
Kalbaugh will work with the fast-growing wealth management firm's executive leadership on strategic planning.
This month's highlights include Riskalyze's rebranding as Nitrogen, InvestCloud's executive exodus, Snappy Kraken's launch of an outsourced marketing service, and Lumiant's acquisition of health and longevity software Genivity.
There's a fair amount of legwork that needs to happen to get firms to the point where automation is possible.
AssetMark ended the month of May with $96.4 billion in assets on its turnkey asset management platform, up 10.9% year over year.
Its purchase of Oakbrook Solutions creates a combined firm that has more than 100 employees and serves clients representing a combined $2.5 trillion in AUM.
Schwab self-reported the issues with disclosures related to exchange-traded notes, which occurred from January 2016 to December 2020, to Finra.
Even when they're bringing home the bacon, women tend not to be as involved in household finances as their male partners.
The firm cited the sports and entertainment accredited wealth management advisor designation rolled out in 2022 by the College for Financial Planning as a factor that will help advisors meet such clients' needs.
The fundraising was led by Motive Ventures, the venture capital arm of Motive Partners.
Veteran UBS wealth management executive Tom Naratil is not part of the new team, however.
Identity pronouns resonate far beyond the forms they're written in, signaling inclusion and respect.
