The pre-seed funding round included Brian McLaughlin, Ron Carson, Jason Wenk, and Steve Lockshin.
The regulatory agency originally planned to resume arbitration and mediation proceedings at the end of January, but they can now proceed only via Zoom or teleconferencing.
Advisor Mac Gardner created a fintech competition to help with his financial literacy app, inspiring a new technology track in the financial planning curriculum at the University of South Florida.
AdvisersGiveBack.org wants to help volunteer advisors deliver personalized financial plans to individuals who arguably need it the most.
Broker/dealer Waddell & Reed, an 83-year-old firm, will sell its brokerage business to LPL and its asset management unit to Macquarie.