More about InVest: As new digital tools transform wealth management, the industry’s largest players are rushing to adapt to ever-increasing customer expectations, while smaller firms strive to keep pace. Behind the scenes, many are investing more on technology and hiring to drive growth, but margins remain under pressure. In|Vest West is exploring all the dynamics at play — from front to back office — and the technologies that are shaping the future of the firm.
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It’s another big get for a bank that has been busily luring away top talent from the wirehouses.
November 17
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“Platforms like this you would typically see at the larger broker-dealers and maybe the wirehouses,” says Gary Gallagher, the firm’s head of investment and managed solutions.
November 17
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Whether the law changes next year or in 2025, wealthy clients can save by using the generous provisions now.
November 17
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Ariel Sandell is the chief security and compliance consultant at
Securex , a cybersecurity and compliance consulting firm based in New Jersey, serving tax, financial, and health care professionals nationwide. He holds multiple cybersecurity and compliance certifications, including CHITSM, CHSP, CPCIP and more.November 16
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It’s one of the largest recruiting moves of the year in the independent broker-dealer sector.
November 16
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Five firms agreed to pay $3 million to settle an SEC investigation into unsuitable sales of complex exchange-traded products.
November 16
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Angela Ceresnie is CEO of Climb Credit, a innovative student lending and payments platform.
November 16
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While FINRA rules spell out what brokers generally need to determine a client's financial situtation, there can be gray areas, an expert says.
November 16
