See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
Get the latest stories direct to your inbox - subscribe to the Morning Memo.
The center will be offering nearly $500,000 across 100 scholarships, 48 of which are new. That is a record number since the program was started in 2016.
An administrative order from the SEC alleged clients at a Nebraska-based broker had their assets placed in higher-cost mutual fund share classes when lower-cost options were available.
In a virtual 'State of the Industry' briefing, CEO Ken Bentsen said he also hoped the SEC would look at how e-delivery of documents has increased during the COVID-19 pandemic.
Waddell & Reed doesn’t bring scale to LPL but rather a financial planning-focused group of advisors best poised to take advantage of what the larger firm can offer, says LPL Head of Recruiting Rich Steinmeier.
Goldman Sachs' success in operating remotely during the pandemic has persuaded members of the leadership team that they can move more roles out of the New York area to save money.