The pre-seed funding round included Brian McLaughlin, Ron Carson, Jason Wenk, and Steve Lockshin.
John Mallory is currently head of Americas Private Wealth Management, while Meena Flynn leads the Global Markets Solutions Group.
The regulatory agency originally planned to resume arbitration and mediation proceedings at the end of January, but they can now proceed only via Zoom or teleconferencing.
Advisor Mac Gardner created a fintech competition to help with his financial literacy app, inspiring a new technology track in the financial planning curriculum at the University of South Florida.
Pam Capalad's Brunch & Budget business is just that -- she meets prospects for brunch to talk about budgeting and other cash flow planning issues. She's been able to turn that into ongoing financial coaching relationships.
AdvisersGiveBack.org wants to help volunteer advisors deliver personalized financial plans to individuals who arguably need it the most.
Broker/dealer Waddell & Reed, an 83-year-old firm, will sell its brokerage business to LPL and its asset management unit to Macquarie.
The new location is the 42nd office and Mariner's first in Utah.
Two Seattle-area registered investment advisors come together under the Laird Norton name.
