Executive has served as the chair of the SEC, Finra and the CFTC
CFP Board, FSI oppose new law prohibiting use of terms "certification" or "registration" for credentials not approved by state.
Brokerage veteran will help content marketing company develop new services.
Kyusun Kim also allegedly falsified elderly customers' wealth to allow sales
The claimant's broker at UBS has 183 disclosures on his BrokerCheck report.
Arbitration panel says firm failed to supervise former broker's unsuitable transactions.
Brian McIntyre says Finra laid off mostly older workers after it lost a regulatory contract with the NYSE in 2016.
The record keeper joins some other big competitors in offering participants their money back if their accounts get hacked.
Rothification, which set off a furor in 2017 as Congress debated tax reform, could find its way into new bills next year, experts say.
But advisers say they don't see using apps like Zelle or Venmo to collect client fees.
Securities Industry Essentials general knowledge tests begin Oct. 1, but there's still little awareness among the public about the opportunity.
Affluent clients are confident about retirement plans, but not medical expenses
Fintech companies are using data to develop next-generation metrics for advisers.
The firm notified brokers that new clients can choose whether or not to allow advisers to take their information with them if they leave the firm.
Cerulli analyst says 401(k)s reliant on capital market returns, whereas IRAs are popular rollover vehicles.
UBS exec Richard Steinmeier will replace Bill Morrissey, who is retiring after a number of LPL recruiters jumped ship.
Massachusetts securities czar says insurer's failure to make pension payments enabled it to lower reserves
Firm will also pay $1.1 million in restitution after SEC finds improper sales of market-linked securities.
A revocable trust with a co-trustee might have averted the former astronaut's battle with two of his children.
Boutique firm has recruited eight financial advisers in the past two months, including four from Merrill Lynch.
