Redfearn, who led the SEC’s Division of Trading and Markets, which was responsible for ensuring firms remain in compliance with Reg BI, will leave the agency by year’s end.
The partnership with White Oak Investment Management comes several weeks after LPL purchased the broker/dealer business of Waddell & Reed for $300 million.
The change means reps will take a portion of the regulatory agency's continuing education program once a year, as opposed to every three years.
Israel's 'startup king' said cryptocurrencies are a gateway to 'the dark economy,' even while a legacy insurer buys $100 million in bitcoin.
The Nottingham Company said it expects one of Adaptive Investments' mutual funds to be converted to an ETF in January.
Envestnet and Vestwell are partnering to provide support, record-keeping and administrative services to advisors working with retirement plans.
Diachok’s nephew, Ryan Diachok, current president of Geneos, has taken over the CEO duties.
Cleo is aiming to be the go-to financial advisor for a billion people around the world.