Cambridge Investment Research’s RIA business "breached its fiduciary duty" by failing to disclose agreements with clearing brokers to share revenue with the firm from some mutual funds and wrap fee accounts, according to the SEC.
With its new Investor Experience Platform, the startup, which also announced the raise of $2.2 million in capital, hopes to serve as a review hub for advisors.
Watch as Ted Schmelzle, Second Vice President, Customer Operations at Securian Financial Group discusses maximizing the pooled employer plan opportunity.
Jerry Lombard, president of Janney’s Private Client Group, talks about the regional firm’s exponential growth over recent years, and how its unique balance of freedom and flexibility makes the employee model an attractive alternative for advisors looking beyond the wirehouses but who see independence as a bridge too far.
Join us on Tuesday, Mar. 8th to hear real world examples from top wealth management and family office firms. They will provide actionable takeaways for how you can future-proof your business, expand your service offering while maintaining profitability.
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