Finra has proposed a pilot program for firms that want to continue remote inspections, in line with the seemingly permanent use of remote work.
The QDIA combines a target-date fund for younger individuals and Stadion’s StoryLine managed account service for participants aged 50 and older.
The addition of E. F. Heagan & Associates and Mandichak Investment Retirement & Estate Planning brings more than 500 new clients.
Ramsey-based Key Group Management had been affiliated with Royal Alliance.
Hightower facilitated the merger for Cleveland, Ohio-based Fairport, which is a Hightower advisory business.
Pending investigation, Massachusetts adviser Filippo Mastrocola can’t use CFP certification mark.
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.
