Morning Memo
 
Wealth Management Morning Memo

APRIL 9, 2024

Former Merrill Lynch Advisors Launch $550M Dynasty-Backed RIA

A group of former Merrill Lynch advisors have launched Fairvoy Private Wealth in Birmingham, Ala.

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Industry

LPL’s Head of Wealth Management Departs

Rob Pettman is leaving the independent broker/dealer after 17 years to join a fintech firm.

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FASTCHAT VIDEO

Navigating the Sustainable Investing Landscape in 2024

Dive into the critical role of sustainable investments in the evolving financial landscapes.

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Regulatory

FINRA Fines Florida B/D $500K For Not Retaining Business-Related Texts

Dawson James Securities failed to retain more than 10,000 business-related texts, including consumer complaints and client conversations, over 10 years, according to FINRA.

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RIA News

Stratos Wealth Brings First Two Affiliates onto Private Wealth Platform

Heald Financial Advisors and Claricity Wealth became Stratos Private Wealth in its first expansion since the division launched last spring.

FULL ARTICLE

Industry

J.P. Morgan Asset Management Solutions Names New CIO of Tax Smart Strategies

The new role will partly support 55ip, whose CEO, Paul Gamble, revealed last week that he would step down from that post in September.

FULL ARTICLE

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