Leawood, Kansas-based Total Wealth Management has seven staffers.
'I intend to vigorously defend myself against these claims,' broker Tony Barouti states.
Asset and investment growth in health savings accounts was strong during the first half.
Wealthtech firm is also closing in on $1B AUM thanks to fast growth in 2023.
Bankrate survey finds that most feel they are behind on their retirement savings.
Report says that the deals are now being considered by the firms involved.
Members of the House Financial Services Committee spent hours criticizing or praising the SEC's work under Chair Gensler.
The firm plans to convert the roughly 400,000 square feet of space into offices.
A $60-per-account fee and retention bonuses are issues that are expected to come up in Cetera senior execs' meeting with Avantax advisors.
Clients are increasingly worried about retirement prospects and the level of financial security they can achieve during their golden years.
The rule allowing such inspections is due to expire at the end of this year, but Finra has asked to delay the expiration until June 30.
Omaha-based Pat Ricketts and Mindy Helfrich were previously affiliated with Principal Securities
With the advisor shortfall, firms will have to get more accomplished at leveraging tech.
Its plan, which will be rolled out in 2024, is the seventh state auto-IRA to partner with the digital record keeper.
Regulator says multiple conflicts were not disclosed over 5-year period.
The asset manager is appealing its conviction for helping wealthy clients with cross-border cash moves.
Guy Metcalf has been with the Wall Street firm for 33 years.
Former president loses New York lawsuit as judge describes 'fantasy world.'
'It feels like déjà vu,' says one advisor. 'This is what they do every time.' The SEC would have to furlough the vast majority of its staff, bringing enforcement and exams almost to a halt.
The firm also reached a confidential agreement with former executive Jes Staley.
