The 4,000-person regulator in March was one of the first federal agencies to tell employees to stay home due to the public health emergency.
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Global Head of Product DevelopmentBroadridge Financial SolutionsJuly 13
Financial AdvisorUrban Wealth ManagementJuly 7
Chief Investment OfficerMomentum AdvisorsJune 29
The advisors are based in Florida, while the new executive will oversee the New York tri-state area.July 13
A class action asserts that the data aggregator accesses more of consumers' bank account information than it needs and ultimately aims to sell the data to others. Plaid, which has agreed to be sold to Visa, denies the allegations.July 13
U.S. officials have raised questions about the security of TikTok, which is owned by Chinese company ByteDance.July 13
With Treasury yields now hovering around zero, and likely to stay there for years, expected gains from the traditional asset mix are in doubt.July 13
The manager joins firms including JPMorgan and Arena Investors in seeking opportunities in the sector, particularly in the wake of the coronavirus pandemic.July 13
Data, Research & Multimedia
In a sign of long term changes and pivotal questions for the industry, the difference between the amount of fees and commissions in the sector has nearly doubled.
The leaders raked in a combined $949 billion over the past decade.
The survey's perennial champions scored higher than competitors like Wells Fargo, Ameriprise and LPL on every metric.
The largest percentage of women advisors for any single firm rose from the previous year, but the available numbers paint a stark picture.
Those who don’t pay them back could lose up to 45% of their potential savings.
Wealth management firms should define success by how well their operations perform under pressure, Kestra Financial COO Kris Chester says in an episode of Financial Planning’s podcast.
For the first time, the ranks of the top 25 firms according to their annual business include single entries for IBD networks.