Douglas Chin, who managed $200 million at Morgan Stanley in Red Bank, New Jersey, has gone independent and affiliated with LPL Financial’s broker-dealer and corporate registered investment adviser platforms through Gladstone Wealth Partners.
Gladstone is an LPL super office of supervisor jurisdiction.
Chin had been with Morgan Stanley for nine years and, earlier, spent 24 years with Merrill Lynch.
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.
