Practice

He allegedly told his employer that he had been diagnosed with cancer, and took medical leave from June until September. Wells Fargo notified him that he was being let go while he was away, according to the complaint.

While it may seem that there is a high barrier for entry, there are many resources available for advisors who deal with financial services abroad.

If approved for an IPO, the blank check company will face stiff competition among the growing ranks of RIA acquirers.

The former J.W. Cole advisor’s practice allegedly sold more than $40 million worth of unsuitable and unregistered promissory notes.

From Zoom to Skype to WhatsApp, bankers are often encouraged by clients to connect on platforms that are hard to vet.

“These are tracking the industries that are supporting the economy and will continue in the post-pandemic world,” an expert says.

Here’s how RIAs are falling short in their support for pregnant and new mothers and what they can do to change it, according to advisor Rianka Dorsainvil.

"We’re not just software,” CEO Ed O’Brien says. “We’re here to help advisors be better planners.”

Meanwhile, the wirheouse’s advisor headcount ticks down and recruitment loans drop, again.

From pervasive discrimination at work to the dangers of #BankingWhileBlack, Black people in America face serious hurdles when engaging with the financial services. Join us for a panel discussion featuring guests from the upcoming Access Denied: Systemic Racism in Financial Services podcast.