| |
The Financial Industry Regulatory Authority released a 40-page report outlining its progress on FINRA360, a widespread review of its operations and programs, originally announced last March. The report highlights a number of changes FINRA has put in place in the last year ...
Where Are All The Fiduciaries?
Four industry groups, including the Institute for the Fiduciary Standard, the Garrett Planning Network, the National Association of Personal Financial Advisors (NAPFA) and the XY Planning Network, have launched a website to help investors in the Washington, D.C. area find advisors who act as fiduciaries at all times. ...
D.A. Davidson Adds Colorado Springs Team
D.A. Davidson has opened its first office in Colorado Springs, Colo., after acquiring the McCarty, Brown & Eden Financial Advisor Group, the firm announced. The eight person team, with $380 million in client assets, includes five financial advisors and three support staff members. ... |
