The regulator is probing how brokerages approve and monitor options trading for customers and is requesting information pertaining to self-directed accounts and accounts in which a registered representative made recommendations.
While there's some good news about women attaining corporate board seats, progress is still slow. Here are some suggestions on how women advisers can attain leadership roles.
Personal Portfolio, based in Redwood City, California, previously was affiliated with Investment Architects.
To fulfill our mission of expanding access to financial advice to all corners of the country, our membership and our profession must reflect the makeup of our overall society.
The company maintained its healthy recruiting pace over the first two quarters of the year even as losses continued to mount among its wirehouse competitors.
Robert Batick moves from Westport Capital, while Norman Coates made the switch from LPL Financial.
As a rookie adviser, Vidal Peoples met a doctor in need of comprehensive financial planning. He taps into the kind of professionals whose incomes can skyrocket but are also saddled with mountains of student loan debt.
Avan recently became SVP and head of global women's and under-represented talent strategy, global human resources for Bank of America.
The efforts of Shundrawn Thomas might seem almost subtle, but they are not. In fact, little about Thomas, the president of Northern Trust Asset Management, is subdued, although his demeanor and general presentation suggest otherwise.
The exchange will direct its listed companies to pursue board diversity — by having at least one female board member and at least one who identifies as a member of an underrepresented minority or LGBTQ — or explain why they don’t.
The advisers are based in Virginia and the Carolinas; there's also one rep joining Janney from Wells Fargo.
Eileen Cure was dropped from LPL after viral videos surfaced of her allegedly telling employees she will not interview Black job applicants.
The shifts signal that the financial services industry is rethinking its return-to-office plans as the highly contagious delta variant sweeps across the country.
Jeff Anderson and Doug McClure of Bothell, Washington, affiliate through Mainspring Wealth Advisors, an office of supervisory jurisdiction.
Eileen Cure is accused of refusing to hire Black job candidates in viral TikTok. Cure called the accusations 'false and defamatory.'
Three new directors were elected to the National Association of Personal Financial Advisors' board.
The asset manager will make payments to all workers who can prove they've gotten a Covid-19 vaccine, even if they were inoculated before the company extended the offer.
Exton, Pennsylvania-based Brumbaugh Wealth Management is affiliating with Cetera through super OSJ AdvisorNet
FMG Suite is giving advisers mobile access to content marketing, which relies on sharing online content to drive client engagement. Digital marketing solutions is slated to be the largest planned increase in net spending for an adviser’s tech stack throughout the year, according to the InvestmentNews Adviser Technology Study.
If the perceived value of an RIA is tied to the adviser's investing prowess, it makes it hard to develop a succession plan or sell the firm.
