New Apex Clearing President Tricia Rothschild discusses Robinhood, robos and the move away from products and toward client services in wealth management.
Lantern Investments Chief Compliance Officer Wendy Lanton will help represent small firms on the regulatory agency's board of governors, while Securities America's Jim Nagengast will continue to represent larger firms.
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.
