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A streamlined “one-stop shop” would assist planners of all stripes in performing due diligence and other actions.
October 8
Foreside -
Derek is the head of advisor experience at Aptus Capital Advisors, an SEC-registered investment advisor specializing in risk-mitigated investing. He organizes the firm’s efforts to help advisors build a confident client base, designing customizable portfolios with client-friendly messaging to match.
October 8
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Kelli Haugh is managing director at Foreside, a provider of governance, risk management, and compliance service and technology offerings to clients in the global asset and wealth management industry. She oversees Foreside’s investment advisor compliance services team and provides strategic and regulatory guidance to investment advisors under the investment advisers Act of 1940 and state securities laws. Prior to joining Foreside, she was a Partner with Dew, Foxman & Haugh PLLC, concentrating on corporate and securities law.
October 8
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Martin Cheek is Vice President of SmartSearch, a provider of an Anti-Money Laundering verification service based in Lehi, Utah.
October 8
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Frank Knapp is the national coordinator of Reform the SBA: BIGGER Mission, Authority and Resources, and is president and CEO of the South Carolina Small Business Chamber of Commerce.
October 8
- J.P. Morgan, LPL Financial, Stifel, plus augmented reality education, NASAA rule commenting and more
Here's what you missed this week in wealth management.
October 8
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While a host of factors are at play behind the bond-stock relationship, one thing that links them together is the perception of growth.
October 7
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The average 529 account holds less than $29,000, which would pay for about half of a year of tuition at the average private university or a year or more at a public university.
October 7
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New research compiled by consulting firm Aite-Novarica Group reveals how dually-registered and fee-only firms diverge in business model and clientele.
October 7
