Fiduciary advocates are pressing the Securities and Exchange Commission to overhaul the measure. FSI and other industry groups will lobby to keep it intact.
The practice in Dallas includes four advisers and three support staff.
Have systems in place so that clients experience a personal connection on a regular basis. This includes reminders to call or email them simply to touch base and let them know you’re thinking of them.
The broker-dealer self-regulator cited a surge of new retail investors entering the markets via online platforms, which has led to a spike in more sophisticated kinds of trading, such as options.
The Certified Financial Planner Board established a 15-member commission to review and recommend changes to its sanction guidelines for current mark holders as well as its fitness standards for candidates for certification.
To help your clients make sound long-term decisions they can live and thrive with, work with them to think through options that will harmonize their financial and emotional lives.
Michael Topinka, Carl Boomhower and Daniel Tyburski set up shop in Wayne, New Jersey, as Topinka Financial.
While users of the trading platforms claim in court filings that they suffered losses from the restrictions, legal experts say brokerages have broad powers to block or restrict transactions — all of which is spelled out as part of customer agreements everyone signs to gain access to the services.
COVID-19 and increased competition slowed down recruiting in 2020, according to CEO Paul Reilly. Now, the firm is beefing up compensation to advisers who are employees.
Brendan Biruk and Dan Rattigan form Washington Crossing Financial Group in Washington Crossing, Pennsylvania.
Some companies are prepping for in-person events slated for the second half of 2021. The industry is hoping to meet face-to-face again as COVID-19 vaccines are being distributed across the country.
Marc Rowan, one of Black’s top lieutenants, will succeed him as CEO as part of a governance overhaul that will also eliminate weighted voting rights.
There is an art to prospecting, and a formula that helps close prospects in the first meeting.
The loan program was aimed at buoying businesses with less than 500 employees; while National Securities surpassed that number of reps and advisers, those were not employees, but rather independent contractors.
Scott Phelan, Kevin Myers and an assistant switch firms in Atlanta.
If we set goals that have a 50-50 probability of completion, we know we’re stretching ourselves; we also know that we’ll get to the end of the year achieving far more than we could’ve imagined just one short year earlier.
Morgan Stanley boosted its chief executive’s pay 22% to $33 million for 2020, when the Wall Street bank posted its third consecutive year of record earnings and announced two large deals.
Do-it-yourself investors found that market gyrations required constant attention and that their amateur trading tools were limited, so many have decided that they need professional help.
Gregory Estes had faced earlier charges of child sexual abuse, which were dismissed. Estes, who has been a registered rep with SA Stone Wealth Management Inc. since 2012, now faces four charges in total.
After 12 years as president of the division, Kathleen Murphy, 57, will depart this summer; her successor has not yet been named.
