In her first year of building a wealth management firm, advisor Anne Marie Stonich was also caring for a newborn baby and struggling with her mother’s death. But the events have positively shaped her view on life and her work as an advisor.
Marcus Boggs pleaded guilty earlier this year for swindling clients, including one man who had received a large civil settlement from a wrongful murder conviction. Boggs was sentenced to more than three years in prison.
RIA consulting firm FP Transitions has tapped Scott Leak, whose institutional sales role at TDAI was cut in the wake of Schwab's acquisition, as a senior consultant.
Melanie Senter Lubin will succeed current President Lisa Hopkins, West Virginia’s senior deputy securities commissioner, after NASAA's annual meeting in September.