Sweet Financial's Brittany Anderson describes the firm's business development and marketing strategies, as well as how she went from a client service associate just out of college to now president and co-owner.
FINRA said this week it would be examining 'account supervision' and 'communications' and would include self-directed accounts as well as those where reps made recommendations.
Commonwealth Advisory Group expands Mariner Wealth Advisors' Pennsylvania presence and focus on professional athletes and entrepreneurs.
Alight went public in July through a merger with Foley Trasimene Acquisition Corp.
Budros, Ruhlin & Roe, which has $3.4 billion in client assets, is the fifth CI Financial acquisition to come out of the 'Blind Squirrels' study group.
According to the commission, Westchester, N.Y.-based advisor Evarist C. Amah misled clients about how their $700,000 in investments fared.
Wealthspire CEO Mike LaMena discusses with Mark Bruno the firm's success, strategies and future plans.
