New Jersey-–based Headquarters Advisory Group, previously affiliated with Avantax's b/d, will join Avantax Planning Partners, the firm's in-house RIA seeded by its acquisition of HK Financial Services.
The new rule would require high-risk broker/dealers to set aside financial reserves to deal with future claims, including unpaid arbitration awards.
The advisor moves and acquisitions you may have missed the week of July 26-30, 2021.
Some observers argue the CFP Board’s proposed changes go too far and that its resources could be better used elsewhere—others say the revisions don’t go far enough.
