Mo Sparks, the former director of exchange-traded products at the NYSE and a Vanguard veteran, will lead the initiative.

Tom Taylor, who's been with Cetera for nearly three decades, will depart at the end of the year, while the firm searches for a replacement.

According to the brokerage regulator, Laura Casey purchased securities in clients’ brokerage accounts when she could have avoided sales charges by using advisory accounts.

The alternative asset investment behemoth also teased two new strategies aimed at wealth clients to launch in 2025.

Ashton Thomas Private Wealth has become the latest RIA to adopt the alternative investment platform.

After a rough 2022 with negative growth rates across the board, many independent RIAs rebounded last year, posting median organic growth of 5%, according to Schwab’s RIA Benchmarking report.

Jess Bost, former vice president of strategic partnerships at Alpha Architect, joins the $115M firm as lead financial planner.

With a massive transfer of money to younger generations looming, a new report says the financial services industry needs to change how it connects with Gen Z and millennials.