Michael Domingos, the firm's head of sales and strategic relations, has been at Prudential for 28 years and was appointed to his current role in 2019. The news comes several months after a report that Prudential was considering a sale of its retirement business.
Two deadlines are looming this summer for investment adviser representatives working in New York state related to the new regulation, which will allow potential clients to more easily review advisers' backgrounds.
The Ann Arbor, Mich.-based independent broker-dealer, which has close to 600 reps and advisers, reported $124.3 million in total revenue in 2019.
Alicia Curtis and Jyl Barnard of Curtis Barnard Financial Services and Chris Dearing of Riverfront Financial share an office in Peoria, Illinois.
Five years ago, a new leadership team decided to focus on recruiting and retaining diverse employees and supporting diverse communities. The firm concentrated on two areas: increasing the number of women financial advisers and increasing racial and ethnic diversity.
The broker-dealer is potentially facing a penalty from the Securities and Exchange Commission due to sales of high-fee mutual funds. The regulator launched its Share Class Selection Disclosure Initiative in February 2018.
The survey also finds sense among women that their compensation has not kept pace with their experience and responsibilities.
Open rates and click-through metrics can provide unique insight into your prospects’ level of interest, but they can’t fully gauge the connection you’re starting to form.
The six-adviser team, Puzzle Wealth Solutions, is affiliating with LPL Financial through OSJ Gladstone Wealth Partners.
Driving the recruiting overhaul at wirehouses over the past few years has been the tremendous expense of recruiting experienced financial advisers.
As clients were bombarded with social media messaging during the pandemic, advisers cut through the clutter by taking a more strategic approach.
Law professor Renee Jones will run the agency's division of corporation finance, making her the first Black woman to lead one of the SEC's four major divisions.
For eight years running, the InvestmentNews’ 40 Under 40 program has honored superstars, like SEC Commissioner Caroline Crenshaw this year, as well as young professionals who are quietly building successful careers.
One consensus I’ve seen emerging is that reducing pandemic unemployment benefits will ease hiring challenges. It’s been hard to find nonpolitical counterpoints to this. But I did find one source that challenged this notion.
Bobby Conville Jr. and Earl Smith are joining the firm's employee unit in Ruston, Louisiana.
The investment bank is putting the finishing touches onto its $13 billion purchase of ETrade Financial, and has benefitted from ETrade’s direct, online access to a younger group of clients.
Low rates have been problematic for savers hoping to earn enough interest on cash reserves to combat inflation, but those yearning for higher yields may want to be careful what they wish for.
Michael Kitces and Pershing chief information officer Ram Nagappan outline areas in which advisers should leverage technology to grow businesses.
It's not clear what LPL thinks about Good Life Cos.' move and whether it has fully signed off on the firm adding Raymond James as a broker-dealer choice for its advisers.
John Gill and Bryan Horner will join the firm's employee unit in Virginia Beach, Virginia.
