Growing up with a single mom, a disabled sister and a personal struggle with dyslexia, Heather Kelly should have been a statistic. Instead, she has become one of the most successful and inspiring women in financial services.
CEO Shirl Penney expects his independent advisor services platform to reach its goal by Independence Day of next year, and he still has plans to take the company public.
Prospera Financial Services has formalized its suite of succession planning resources to help older advisors monetize their businesses and younger advisors acquire practices or become successors.
Financial firms are continuing to reduce headcount in response to mounting economic and geopolitical uncertainties, higher rates and a slower pace of dealmaking.
The co-founder discusses the why of Bento through to the predictive client-communications platform's just announced partnership with marketing firm FMG Suite.
Haywood USA failed to do due diligence for approximately 134 sales recommendations of private placement offerings totaling nearly $11 million, breaking FINRA rules and violating the SEC's care obligations.
