Wealth Management Morning Memo

NOVEMBER 10, 2021

Dynasty Rolls Out Referral Program for Partner Firms

Diana Britton

Dynasty's partner firms want to leverage its brand, a la Intel, to create broader awareness among end investors.

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Technology

XYPN Co-Founders Discuss Technology, Virtual Assistants And Community

Davis Janowski

The network continues to grow and plans to bolster planning-centric members with technology as well as human support.

Regulation

FINRA Fines Aegis Capital $2.8 Million For Potentially Unsuitable Trading

Patrick Donachie

The firm’s sanctions include $1.7 million in restitution for harmed customers.

SPONSORED CONTENT

Five Steps To Help Your Team Develop and Pursue A Shared Purpose

Sponsored by Schwab Advisor Services

See why, no matter if you’re on a team of two or 20, developing a plan everyone agrees on is crucial.

Industry

New Jersey Advisor with $400M AUM Joins LPL from HSBC

Patrick Donachie

Scott E. Howell will join Gladstone Wealth Partners, a large enterprise of LPL Financial, and will start a new independent practice based out of its Chester, N.J. office.

SPONSORED CONTENT

Transitioning Your Business: Your comprehensive guide to a seamless move

Sponsored by LPL Financial

Thinking about transitioning your business undoubtedly raises questions and concerns.

Ten to Watch

PEOPLE

Ten to Watch in 2022: Gabe Rissman

Diana Britton

Gabe Rissman is Co-founder and President, YourStake

PEOPLE

Ten to Watch in 2022: Niharika Shah

Davis Janowski

Niharika Shah is CEO, Clout; Partner, Tifin

SPONSORED WEBINAR

From 60-40 Bonds to Buffer ETFs: A Strategy for Volatile Markets

Sponsored by Innovator Capital Management

Join this webinar on Thursday, Nov. 11th to learn a potential solution enabling clients to reduce downside risk through a built-in-buffer, while maintaining the upside potential of the market.