See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
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Head of Thrivent Advisor Network Carolyn Armitage draws on insights from her decades of experience working with financial advisors to share an important lesson that could change the way you lead your business today and the legacy you leave behind...
The changes include allowing individuals to retain their qualifications for up to five years provided they keep up with continuing education mandates. FINRA believes the changes will help people more easily return to the industry after extended...
The number of standalone enforcement actions climbed year-to-year from 2020, while whistleblower awards passed $1 billion since issuing its first award nearly a decade ago.
The two states become the 17th and 18th to adopt rules regarding annuity sales and recommendations based on the National Association of Insurance Commissioners’ model rule, following Connecticut, Virginia, Iowa and others.
Under AmeriFlex's new program, an advisor sells 30-40% of their current revenue to the OSJ in exchange for a check. The program was created with Larry Roth, industry consultant and longtime IBD exec.
