Industry

The new location is the 42nd office and Mariner's first in Utah.

Two Seattle-area registered investment advisors come together under the Laird Norton name.

The proposal is based on the NAIC's model regulation intended to align with Reg BI. But if a Biden administration urges changes to the SEC rule, how will states approach amending their own annuity regulations?

Regardless of what the pandemic will bring, or not bring, in 2021, the wealth management industry has been changed forever.

The acquisition is part of FMG’s plan to become an end-to-end digital-marketing platform for financial advisors.

The SEC said Anson Jean-Pierre told investors the funds would be used to develop projects in Haiti, but he actually spent some of the money on things like retail and travel purchases.

The workplace reflects the conscience of the leaders and the culture they create.

The three advisors at the San Diego–based Nautica Wealth Advisors had all previously been affiliated with the independent broker/dealer and are reconnecting with the company from Cetera.

The deal marries S&P, one of the most famous names in financial markets, with a research company that supplies forecasts to most of the world’s biggest companies as well as pricing for bonds and credit default swaps.

The states are the two latest to create their own regulations based off the model passed by the National Association of Insurance Commissioners earlier this year.