The broker, Mario E. Rivero Jr., 38, was registered with Wells Fargo Advisors from December 2010 through October 2020 and then at LPL Financial until last June, when he was barred from the securities industry.
Houston-based advisers Brandon Glasscock and Mandy Haskell are joining the firm’s independent adviser channel.
The company is investing in its technology infrastructure — including digital initiatives and virtual tools — to improve the relationships between clients and their financial advisers.
A new report from Celent shines light on the trend of traditional retailers like Walmart migrating into the wealth management space.
Lance Murphy, who's based in Houston, has 26 years of experience, much of it with asset management companies.
Charlie Scharf earned $24.5 million last year, up from $20.3 million for 2020.
The RIA channel saw a net gain of 1,530 financial advisers in 2021, while the wirehouses had a net loss of 2,065.
When the equity markets decline, as they have this year, they take the value of your firm down with them.
The payoff for pro bono work doesn't show up on the bottom line. It’s in the returns you get from touching someone’s life at a vulnerable moment.
The vast majority of advisers reported having problems finding enough time to focus on business development and client relationships, according to a new study.
Kristi Turchan and Debbie Verker operate as Ascend Wealth Management in Grand Rapids, Michigan.
Franco-Cicero, a wealth adviser at Tobias Financial Advisors, is committed to bringing financial planning and financial literacy to underserved populations.
Bhullar, who joined Edelman Financial Engines in early 2021 to design and launch its DEI program, said she aims ‘to elevate the voices of all employees.'
Thoresen, senior counsel for RBC Wealth Management, is an active member of the firm’s Diversity Leadership Council and recently finished two terms as chair of its Multicultural Employee Alliance.
After 20 years as a financial adviser, Gardner decided to pursue his passion for financial literacy and created FinLit Tech, a company with an app that gamifies financial education for grade school students.
Dixon-James set up his own firm, Resilient Wealth Management, in 2013, and says independence lets him pursue his passion for education, which includes volunteering in financial literacy programs for children.
Crawford, a portfolio manager at Alger and the mother of three children, formed a networking group for women at the firm and for others in investment and finance.
Hall, a regional vice president at Jackson National Life Distributors, founded the Association for Wholesaling Diversity in 2016.
Haslach, who started working as an adviser in her 50s, specializes in veterinarians and wants to continue serving diverse groups.
Ameyaw, director of municipal bond sales at Raymond James, got into financial services after a 17-year military career, and she’s active in the firm’s Veterans Inclusion Network.
