Moving to a new firm may seem daunting. Get the specifics on making the transition, including a timeline and guidance on critical elements such as a communications platform and client portal. Most important: Learn how to make it happen with the autonomy you want, as well as the resources and infrastructure you need.
The broker-dealer alleged that a FINRA arbitration panelist who helped hand down the landmark penalty should have recused herself after reaching a similar conclusion in a case involving the same embattled broker.
Gabriel Kaplan of Wealth Habits used to give his virtual assistant around 20 hours per month of work. AI tools in his tech stack have greatly reduced that amount.
Conventional wisdom says that financial advisors choose to work in areas based on factors like the presence of wealthy families. That doesn't seem to be the case in a post-pandemic world.
The new rules, set to take effect May 23, will allow CFP applicants to forgo a more intensive review process in certain circumstances.
Industry groups argue a new rule under consideration would give brokerage firms new oversight responsibilities over unaffiliated RIAs — a contention FINRA denies.
The Cincinnati-based bank has partnered with the fintech Trust & Will to make estate planning easy, accessible — and free.
