The advisors at Equitrust Financial Group felt it would be in clients’ best interest to affiliate with a publicly traded b/d with self-clearing capabilities.
Advisors could have better prepared clients for the chaos by relaying the inevitability of unforeseen events and finding ways to mitigate their impact, according to panelists at Riskalyze Fearless Week.
Advisor Esther Szabo braved her way through a very scary and uncertain time about six years ago, when her late husband went into cardiac arrest in the middle of their Russian vacation.
New Apex Clearing President Tricia Rothschild discusses Robinhood, robos and the move away from products and toward client services in wealth management.
FINRA, the SEC and the Commodity Futures Trading Commission fined Interactive Brokers for failing to properly support its own anti-money laundering program.
Lantern Investments Chief Compliance Officer Wendy Lanton will help represent small firms on the regulatory agency's board of governors, while Securities America's Jim Nagengast will continue to represent larger firms.
