The more individually tailored a communication to a customer is, the more likely it is a recommendation, SEC Commissioner Allison Herren Lee said during the NASAA fall meeting.
The deal gives Salt Lake City-based Crewe entry into the Scottdale, Arizona, market.
James Katz tailors his RIA, Humankind Investments, to serve clients who place the greater good at the top of mind.
Geier Asset Management does business as Winpoint Financial and, like MAI, it specializes in serving professional athletes.
Carrie Turcotte and Crystal Walker run NorthShore Financial Strategies in Chattanooga, Tennessee.
Most employers have tuition-reimbursement budgets, though they hardly spend them. Those budgets instead could go to student loans.
The freeze on student loans has been a financial lifeline for many. That hasn’t been lost on employers, who are juicing up benefits.
While industry groups argue the programs will take business away from advisers, there are still ways to get involved in the retirement planning process.
A recent report by Natixis speaks to areas that can be addressed to improve U.S. retirement security, and there’s plenty of evidence about what needs to be done.
Known as the Inter Alia Group, four reps and four associates make switch in Portland, Oregon.
A J.D. Power study finds that only 43% of users say it’s easy to locate needed information on retirement plan sites.
The deal would be a big one, given that State Street Global Advisors, the bank's asset management unit, has about $4 trillion in assets.
The acceleration in the projected depletion of the trust fund is bad, but given that this was the first report to include the effects of the pandemic-induced recession, the news could have been worse.
The year-over-year increase in assets in health savings accounts is 26%, while the number of accounts now totals 31 million, up 6%.
Altus Consulting Group, based in Texas and Wisconsin, becomes an office of supervisory jurisdiction.
Sandstone Wealth and its two advisers were formerly affiliated with Raymond James and Royal Alliance.
The rule change is effective immediately and will become operative on Jan. 1, if the Securities and Exchange Commission does not object.
The country, which placed 17th in the global ranking, falls short due to income inequality, high health care costs and other factors, according to Natixis.
Keith Gill’s employment at MML Investors Services overlapped with his involvement in the GameStop and meme stock frenzy that occurred in late 2020 and early 2021, according to the regulator.
The addition of Cardinal Point, which has offices in both the U.S. and Canada and serves clients with homes and families in both countries, gives Focus a unique foothold in cross-border financial planning.
