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vice president of international researchMomentum AdvisorsFebruary 13
Director of PlanningLife Planning PartnersFebruary 7
President and founderEmpyrion Wealth ManagementFebruary 6
The bank failed to implement its own supervisory procedures around single-inverse ETFs, costing clients millions, the SEC says.February 27
The major custodian lost its second arbitration case — with even more filings likely — over the services it provided to a brokerage later proved to be engaged in massive fraud.February 27
The custodian’s Liberty platform and “intimate” service are now likely to rest in the hands of a wirehouse.February 27
The company announced that it’s expanding its iShares iBonds suite with term Treasury ETFs that range from 2021 to 2029.February 27
The agency has long urged issuers to address risks and concerns associated with a potential crypto fund, including manipulation, liquidity and custody issues.February 27
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In an episode of Financial Planning’s podcast, David Flores Wilson explains how his Gen-X and Millennial client base fueled his transition from investment banking.
In a new episode of Financial Planning’s In|Vest Podcast, the impact investing consultant explains what prompted her to start collecting accounts of harassment, assault and discrimination.
The fee-only association head tackles challenging issues facing members.
Venture capitalist and In|Vest Conference Chair Sebastian Dovey says in a new episode of Financial Planning’s podcast that the industry is “No. 1 for playing ourselves down” and “saying that we’re bad” at technology.
The 8,000-advisor IBD network will launch “a more robust hybrid offering” this year, Head of Wealth Management Tim Stinson tells Financial Planning in a new podcast.
Direct indexing, heightened competition and advisor tech platforms were just some of the critical details executives discussed.