The broker-dealer giant is shuffling the leadership within Raymond James & Associates as part of its broader seismic reorganization.
The financial planning software provider owned by Fidelity has added a data-syncing and integration boost to one of its key programs.
He was fired after an exam revealed he conducted trades in the account, which was worth more than $260K, without proper authority.
The regulator’s scrutiny and charges against one firm could spark tighter enforcement over off-channel communications, says compliance consultancy.
The firm’s asset management arm looks to raise its ranking in the active ETF sector as it elevates a 20-year tenured leader.
The fintech provider’s latest funding round, which also includes Alumni Ventures and Vanguard, will support its continued growth and AI push.
Another ultra-high-net-worth advisor from BNP Paribas/Bank of the West’s $3B Key Client Group has officially joined the Dynasty Network firm.
The tax-focused Cetera subsidiary’s latest add in Northern California comes after overseeing $60M at LPL.
The Atlanta-based team originally with Lincoln Financial provides planning with a focus on retirement strategies for mass-affluent clients.
The two TAMPs are collaborating to give RIAs customized and easier access to private equity, venture capital, real estate, and private credit.
