MARCH 18, 2021

PEOPLE

Amidst Proxy Battle, Avantax Adds to Executive Team

Diana Britton

Avantax hires a CMO and elevates practice management leaders, even as an outside investor seeks to shake up the broker/dealer's parent company.

FULL ARTICLE

REGULATION AND COMPLIANCE

SEC Charges Unregistered Brokers Who Sold $24M in 1 Global Securities

Patrick Donachie

The charges are the latest in a string involving 1 Global Capital, which was charged in 2018 with defrauding thousands of retail clients, according to allegations.

FULL ARTICLE

WEALTHIES CIRCLE PODCAST

Cheryl Nash on Growing the RIA Space

In partnership with Tegra118

Tegra118 CEO Cheryl Nash discusses the changes the company went through in 2020 and what challenges are planned for the future.

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CAREERS

What is Universal Allyship?

Walter K. Booker

Ultimately, it's about evidencing thoughtful, humane and inclusive leadership consistently.

FULL ARTICLE

THE STEPHEN AND KEVIN SHOW

The Benefits of Social Media for Financial Advisors

Stephen Boswell and Kevin Nichols

Too many financial advisors aren't using social media to their full potential. Here's how.

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