Thoroughbred Financial Services said the loan would be used to support payroll and other expenses allowed under the program's guidelines, according to the firm's updated Form ADV.

CEO David Solomon stopped by Quarantunes to make a donation, alongside celebrities like John Legend and Ricky Gervais.

Paul Horton Smith Sr. faces criminal charges for allegedly using new investor funds to pay interest and the return of principal to those same investors.

From virtual home office advisor recruiting visits to videoconferencing, firms are seeing massive growth in digital interest.

Both Crestone Asset Management and IPG Investment Advisors cited the economic impact of COVID-19's spread, and disclosed the loans in newly updated Forms ADV submitted to the SEC.

Ohio-based Wealthquest said it hoped to use the loan to retain its staff and fund payroll costs and health and insurance benefits for employees, according to an updated Form ADV submitted to the SEC.

David A. Wismer III was convicted of stalking a teenage girl in 2017; this week he admitted to speaking with her by phone, violating his probation.

“It’s a different company than the one I left," says Timothy O’Connor, who's joining Ameriprise's independent advisor channel.

Portfolio Connect, Schwab Advisor Services' portfolio management platform for new RIAs, surpassed 1,000 users.