Martin Ray Evans had approval from customers to transfer their accounts to his new firm, but he didn't have all the information he needed. So he impersonated them on the phone to get it, according to the regulatory agency, and was terminated.
The pre-seed funding round included Brian McLaughlin, Ron Carson, Jason Wenk, and Steve Lockshin.
John Mallory is currently head of Americas Private Wealth Management, while Meena Flynn leads the Global Markets Solutions Group.
Pam Capalad's Brunch & Budget business is just that -- she meets prospects for brunch to talk about budgeting and other cash flow planning issues. She's been able to turn that into ongoing financial coaching relationships.
The new location is the 42nd office and Mariner's first in Utah.
Two Seattle-area registered investment advisors come together under the Laird Norton name.
