The father-daughter team of John and Jennifer Tarantino, who managed $250 million at Morgan Stanley, have set up their own firm in Florham Park, New Jersey, and affiliated with LPL Financial.
The two are using the services of Gladstone Wealth Partners, a large office of supervisory jurisdiction on the LPL system.
John Tarantino had been with Morgan Stanley for 10 years and was with Merrill Lynch for 30 years before that. Jennifer Tarantino joined her father at Morgan Stanley in 2015.
Despite a lighter regulatory outlook and staffing disruptions at the SEC, one compliance expert says RIA firms shouldn't expect a "free pass."
FINRA has been focused on firms and their use of social media for several years.
RayJay's latest additions bolster its independent advisor channel's presence across Pennsylvania, Florida, and Washington.
The deal ending more than 30 years of ownership by the Swiss bank includes six investment strategies representing more than $11 billion in AUM.
Divorce, widowhood, and retirement are events when financial advisors may provide stability and guidance.
How intelliflo aims to solve advisors' top tech headaches—without sacrificing the personal touch clients crave
From direct lending to asset-based finance to commercial real estate debt.
