A slate of new appointees, including investor advocate Barbara Roper, show chair Gary Gensler moving away from the traditional revolving door with industry to staff up the agency, and that could impact advisors, say SEC observers.
Nurture relationships and enhance client satisfaction by pointing clients to platforms that help manage financial workflows and process payments easily and efficiently.
Due to concerns around the spike in COVID-19 cases, Inside ETFs and WealthStack, slated to be held later this month in Hollywood, Fla., will be postponed to 2022.
According to the commission, the firms' faulty cyber policies and procedures didn't protect private client information after third parties fraudulently took over company email accounts.
Join us on Sept. 15th at 4:15pm ET / 1:15pm PT to learn how you can now access a curated set of flexible investment solutions and customized high-net-worth solutions, all designed to give you more power and choice on the path to implementing effective goals-based wealth management.
Theder will be joining FMG Suite, the advisor marketing platform that powers Advisor Group’s MyCMO offering, as CMO and chief experience officer, effective Sept. 7.
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