Wealth Management industry news covering the financial markets, trends and wealth professionals.
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The two petitions ask the commission to revisit a 2007 proposed rule on whether investment advice can be 'solely incidental' for brokers and to consider modernizing an aspect of the Investment Advisers Act of 1940.
NorthShore Financial Strategies, an all-woman team previously with Wells Fargo Advisors Financial Network, is the first independent team to join LPL's SWS model, and the 14th since its inception.
Private Ocean Wealth Management's Greg Friedman and Cynthia Greenfield discuss their most recent book, Integrating Culture in Successful RIA Mergers and Acquisitions, as a way to share their experience and expertise.
Former CEO John Lunny will serve as vice chairman of Vestmark’s board of directors, as the fintech company builds out a more robust direct indexing solution and looks toward an initial public offering.
Former MML rep Keith Gill was posting online as 'Roaring Kitty' about GameStop and other stocks, right under the firm’s nose, according to Massachusetts securities regulators.
