Christine Idzelis
InvestmentNews reporter. Twitter: @CIdzelis
InvestmentNews reporter. Twitter: @CIdzelis
Mr. Moore, Cetera's non-executive chairman, will take over the reins Sept. 12.
The group opened Encore Wealth Management at Wells Fargo Advisors Financial Network.
The broker-dealer network is seeking a new chief executive as Valerie Brown temporarily fills the role.
Founder Greg Caldwell is barred from the brokerage industry.
Paul Mata gave presentations to church groups promising “Finances God's Way,” the SEC said.
Mr. Kowach replaces Mary Mack, who now oversees community banking.
SEC-registered advisers reach record number of clients through automated investment models and mobile apps. (Plus: For more on the pros and cons of going robo, watch this video.)
Broker-dealers may take cue from Wall Street maneuvers as regulatory pressure builds.
The firm allegedly failed to provide about 2,700 customers waivers tied to upfront sale charges
Custodians have morphed into consultants for registered investment advisory firms, navigating them through an increasingly complex regulatory…
