Dusty Sternadel of Wichita Falls was fired for misappropriating funds, according to her BrokerCheck record.
Employers reflexively promote mentoring to cultivate diverse talent, but metrics have been scarce — until now.
The former Morgan Stanley executive will expand the firm's product offerings.
An attorney who formerly represented the TV talk show host claimed that Williams was 'left to die' by her adviser at Wells Fargo and her former business manager.
The acquisition of the robo-adviser was the centerpiece of UBS CEO Ralph Hamers' focus on broadening the wirehouse's wealth management offering.
Instead, UBS is purchasing a $69.7 million note that is convertible into Wealthfront shares, an investment that values the robo-adviser at $1.4 billion.
For your Labor Day weekend reading, here are some fintech updates from the past week.
The latest report from the Employee Benefit Research Institute offers a significant wake-up call when it comes to single female employees and their retirement prospects.
If you’re one of the many advisers thinking about making this practice a regular occurrence, make sure the experience is both high quality and compliant.
'Moments of truth' can overcome the reluctance of many consumers to approach a financial adviser.
By using a proactive approach, firms not only save time and minimize risk, but they also instill confidence into their team from the top down.
Up to 16 awards, with up to $10,000 to be awarded per student, will be given each year, CFP Board says.
The executive, who had been senior adviser to Finra CEO Robert Cook, will spearhead regulatory integration.
Denizens of the metaverse can be ripped off by virtual investments, the North American Securities Administrators Association said in an advisory.
Riskalyze Ultimate combines two existing products, Command Center and Riskalyze Elite, to bring compliance and business development together.
The two investment banks both told staff that they will lift some of their remaining Covid-19 mitigation efforts after the Labor Day weekend.
The economics are attractive right now, and many advisers see a better future for virtually everyone involved if they join forces with a larger firm.
The agency charged the firm with failing to monitor whether wrap-fee accounts were in the best interests of clients who did little trading.
The New York-based RIA will provide four awards per year of up to $5,000 per student for individuals pursuing their CFP certification.
Financial advisers will receive advanced training on integrated practice management platforms.
