FINRA President Robert Cook reiterated the need for exams to remain remote into 2022, and said the rule may need to take a more risk-based approach going forward, he said, at SIFMA's Compliance & Legal Forum.
Within days of taking a minority stake in Verdence Capital Advisors, Emigrant announced its second deal this week, this time with Gerber|Taylor Capital Advisors.
The Sanctuary Wealth founder and CEO shares his firm's plans for the New York office, the Azimut investment, the possibility of adding Goldman Sachs as a custodian and international opportunities.
The St. Louis-based three-advisor team is the second practice LPL has added to its roster this week.
Verdence will use the fresh capital to hunt for more talent and further develop its family office and financial planning services.
Empower Retirement's acquisition of Prudential's full-service retirement business is making it more competitive with Vanguard and Fidelity.
