FINRA says AAG Capital failed to maintain oversight in line with Reg BI, leading some life insurance customers to give up death benefits worth over $100,000 more than the cash surrender value.
Angeles Wealth Management bolsters its female leadership with a new partner in New York, while Maine-based Great Diamond Partners adds a senior financial advisor and a portfolio manager.
LPL is strengthening its high-net-worth planning and tech capabilities while the multi-family office and RIA sets the scene for a selective dealmaking strategy.
Meanwhile, former Bison Wealth-affiliated firm QTR is spreading its wings as a fully independent RIA in Florida.
Survey research shows how caregiving can take a years-long toll on finances, career, and emotions.
The New York-based advisor, formerly affiliated with Securities America, has also been suspended for failing to disclose his status as a beneficiary.
Survey suggests financial professionals are falling behind investors' need for guaranteed income and asset protection in their golden years.
The Alpharetta-based advisor ensemble enters a new chapter in its partnership with the Kestra Financial subsidiary.
The newest transitioners bolster LPL and Wells Fargo's talent pool in Texas and North Carolina, respectively.
Two-thirds of direct indexing users expect to ramp up adoption, particularly in the high-net-worth space, though many still face operational barriers.
