Financial advisors should pay attention to regulators' concerns, since it's often advisors or firm executives who don't follow industry rules to the letter who may be discharged.
The firm provides marketing services to more than 500 independent advisors; its affiliated RIA, AE Wealth Management, will make the tool available to its advisors.
Webull Financial failed to conduct adequate due diligence on customers, Finra found, but the company did not admit or deny fault.
CEO Bill Hamm said the net capital deficit of $120,000 shown in IFP's Focus report was the result of accrual accounting.
The co-founder of the Houston-based registered investment advisor said $6 billion in size isn't what it used to be.
The proposal, which has little chance of passing Congress, would also raise the top tax rate for Americans making $400,000, to 39.6% from 37%, reversing one of Trump's tax cuts.
The latest comes from FMG Suite, which announced a new AI engine that will automatically generate personalized social media content.
Eversheds Sutherland's review of public reports found that Finra's monetary sanctions totaled $72 million last year, down from $150 million in 2021.
Several unique elements affect women advisors' planning, including a greater focus on the established relationships between staff and clients and on the maintenance of culture within their practice.
Grayscale sued, asking the DC Circuit Court to overturn a decision the firm called arbitrary and discriminatory because the agency had already approved ETFs that track bitcoin futures.
The 25-year industry veteran and managing partner of Merchant Investment Management works extensively with RIAs.
The $1.5 million award to two investors follows a $36.7 million loss for Oppenheimer last September in a dispute involving the Horizon Private Equity III fund.
More than 40% of women believe the US is currently in a financial crisis, with another 24% believing that it is nearing one, according to a Nationwide survey.
Richard Weisberg will operate as Weisberg Wealth Management in Naples, Florida.
The president's proposal, which would also give the government new power to negotiate drug prices, would extend the solvency of the Medicare trust fund beyond 2050, the White House says.
The expansion of the map over the last five years shows the innovation that's occurring in the fintech sector and the many choices available to advisors.
The identical twin brothers overbilled for advisory fees and used their clients' credit cards and bank accounts to finance luxury hotels, jewelry and apparel.
The core group of Angie Ostendarp, Jordan Raniszeski and Mary Sherrill Ware is joined by Mitch Mayfield and Jeff Vandiver.
Ameriprise jumped into the bank broker market in 2017 when it acquired Investment Professionals Inc.
Ralph Hamers received $13 million for his second full year in the job while the overall bonus pool for the rest of the firm was cut 10% to $3.3 billion.
