The former TDAI executive spent the last days of 2020 studying for his CFP exam and taking a hard look at the regulatory landscape that faces financial planners in 2021.
Andrew Stotler details his journey from Edward Jones' anti-money laundering review division to starting his own business by knocking on doors to get clients.
The new firm Homestead Wealth Management will be based out of Glendale, Ariz. The two advisors have about $150 million in advisory and brokerage assets under management.
Gero, a New York-based managing director in Royal Bank of Canada’s wealth management division, served for 54 years trading precious metals as a member of the New York Mercantile Exchange and Chicago Mercantile Exchange.
Redfearn, who led the SEC’s Division of Trading and Markets, which was responsible for ensuring firms remain in compliance with Reg BI, will leave the agency by year’s end.