The acquisition of CPIC International is EP Wealth's eighth since taking a minority investment from financial services holding company Wealth Partners Capital Group in July 2017.
The co-founder of XYPN Network worries that Skip Schweiss' dual roles at the Financial Planning Association and TD Ameritrade are a conflict, given the entities' diverging advocacy aims and financial ties.
Financial planners are more caught up in the day-to-day activities of running a business, rather than what’s ahead, according to a new survey by SEI and the Financial Planning Association.
The third-annual report from the regulatory agency cited common violations at FINRA firms, as well as typical tendencies that could potentially escalate into violations.
The public charity's total for 2019 has hit $5.25 billion with more than two months remaining in the year, exceeding the previous year's all-time high.
Allegedly, James Heafner of Taylor Capital Management invested funds from five retirees with a company charged by the SEC with defrauding thousands of investors.
According to the fintech firm, Broadridge's acquisition will help advisors better prepare for the implementation of the SEC's Regulation Best Interest rule.
The regulatory agency also announced a conference detailing how brokers, firms, leaders and regulators should prepare for the implementation of the SEC's rule next year.