Criminal and civil fraud charges were filed against Anthony Mastroianni Jr., who sold fake promissory notes to older investors.
Regulator says rep defrauded clients by saying variable annuities were commission free.
The association's board will engage an interim CEO while it searches for a permanent successor.
Just 7% of the 2,596 people who took the CFP exam in July did so remotely.
Strategic Financial Solutions has seven advisers and is based in Cedar Rapids, Iowa.
The pair have opened Marble Wealth in Montgomery, Alabama, and have been joined by Adam Rogers, previously a portfolio manager at Retirement Systems of Alabama.
Colleen Bell, Jeff Vivacqua and Seth Miller become presidents of their respective divisions as part of a new organizational structure.
Jeff takes the pod solo, interviewing the founder and president of The ETF Store, Nate Geraci, about the nuances of single-stock ETFs. Nate talks about how we got to this point, how the newly released ETFs that invest in a single security work, and who they work for.
Startup Fidelis Capital has offices in Tampa and Dallas; the bankers advised on almost $6 billion in AUM at their former firms.
As more advisory firms go fee-only and as RIAs grow, InvestmentNews Research has come up with a list of the biggest fee-only firms.
