Brendan Biruk and Dan Rattigan form Washington Crossing Financial Group in Washington Crossing, Pennsylvania.
Charles Kenahan had already been barred by the state of New Hampshire in December.
The regulator says the firm didn't properly screen more than 1,000 nonregistered employees.
Scott Phelan, Kevin Myers and an assistant switch firms in Atlanta.
Dayton-based Beacon Capital Management also runs a turnkey asset management program.
Ten-year-old Marrs Wealth Management is based in Ames.
Today, unfortunately, cases of cognitive decline are prevalent, and the informal and below-the-radar approaches that addressed the issue in the past are inadequate to meet the current challenge.
D.C. correspondent Mark Schoeff joins Bruce and Jeff to look at the full impact of the new Biden/Harris administration on the advisory business. What will change quickly, what won't, and what happens to Reg BI?
Biden has nominated Gary Gensler to serve as SEC chairman, but that nomination must be approved by the Senate. Lee has served as an SEC commissioner since 2019.
FirstBank’s investment unit, with 17 advisers, had been affiliated with LPL Financial.
