Securian’s retail wealth business, including some $72.2 billion is assets across more than 30 independent firms and 1,000 financial professionals, will become a 'distinct community' within Cetera Advisor Networks.
Business students at the school have recently launched their own private equity real estate fund, which aims to deliver returns to real-life investors. Here’s how they raised the money and plan to deploy their capital.
Join this webinar on Feb. 9th for a deep dive into associated incentives and opportunities with new plan creation. This presentation will help advisors understand this monumental legislation intended to increase the availability of, and participation in, retirement savings plans.
In a settlement, FINRA said the firm mistakenly believed that third-party b/ds executing the trades were responsible for spotting potential market manipulation.
The regulator cited the 'extraordinary cooperation' of Securities America, Royal Alliance and SagePoint as the reason for no penalties beyond restitution.
The sector continues to be viewed favorably in the marketplace. But potential returns are lower, leading to a reassessment by debt and equity investors.
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