One industry group is now calling on Finra to end the remote hearings it says are harming investors. Two hundred and sixty-three hearings have been conducted remotely as of the end of March.
The heads of the Senate and House committees overseeing labor want to know whether TDFs are working as advertised.
Get the stats on this year’s 40 Under 40 honorees, including their favorite social media platforms, which designations they’ve earned and how many hours they work each week.
The Squier & Martinez group is opening an office for the firm in Grand Junction, Colorado.
Atlanta-based Clearview Advisory serves more than 100 plans with $2.3 billion in assets.
The company's assets under administration rose almost 43%, and there was a surge in the portion of new accounts opened by younger investors.
Heald Wealth Management changes firms in Wellesley, Massachusetts
Only 16% of advisers are women, while 3.8% are Hispanic, 2.6% are African American and 2.1% Asian, according to a study by Cerulli Associates and the Investment Adviser Association.
Joel Drake in Des Moines, Iowa, is affiliating through The Wealth Consulting Group, an office of supervisory jurisdiction.
The seven-person group will join its Newport Beach, California, office.
