The SEC claims that Jack Brewer, a former investment advisor, sold shares of penny stock COPsync, a company he consulted for, knowing the stock price would fall.
Dynasty Financial Partners CEO and founder Shirl Penney on why the pandemic has been a boon to wirehouse breakaways, how his firm is working with Envestnet and Mariner Wealth Advisors, and what it means for the network to reach the $50B AUM mark.
Oleg Tishkevich, CEO of INVENT.us., explains how Cloud Native can take advisors into the next level of coordination, integration, simplification and workflow automation.
San Diego-based advisors Scott Dudley and David McQuade align with Financial Advocates, one of LPL Financial’s largest offices of supervisory jurisdiction.
The Morningstar veteran is joined by Tom Valverde, appointed to a newly created role at Apex.
Another familiar face, Skip Schweiss, has left TD Ameritrade Institutional. He is still slated to lead the FPA, but otherwise his plans for the future remain unclear.
One of the most senior Black women in finance talks about her career journey and what still needs to change.
