Jesse Rodriquez, who managed $326 million at UBS in Newport Beach, Calif., has left the firm and formed Rodriquez Wealth Management. The independent practice has affiliated with Wells Fargo Advisors Financial Network.
A veteran wirehouse adviser, Mr. Rodriquez began his career in 1996 at Smith Barney, moved to Merrill Lynch in 2006 then to UBS in 2011.
Also affiliating with FiNet is R Carson, who managed $60 million at Edward Jones. He has formed Jeller Wealth Management in Chicago. Mr. Carson was with Edward Jones for 12 years.
Elsewhere, Wells Fargo Advisors adds a $400 million Morgan Stanley veteran in Naples as an ex-Cetera advisor goes independent with LPL
According to a federal charges Bradley Heppner, 60, received more than $150 million in payments through funneling money from GWG Holdings to a shell company.
A $1B fund allegedly skimmed 30% off the top, then swapped cash for locked-up stock.
Insiders allegedly rewrote projections three times in four days.
TCI Wealth Advisors also has also tapped JIFFYAI to unify onboarding and servicing, while TradePMR adds ICE market data to its Fusion advisor platform
Knighthead Life entered the market with a competitive MYGA. A strong launch earned advisor confidence and paved the way for FIAs.
As AI makes financial information more accessible than ever, Lana Hock explains why human judgment, trust, and empathy remain the qualities clients value most in a financial advisor
