To escape the damaged reputation of his employer, one of Wells Fargo's top brokers decided to start his own advisory firm. Thanks to a chance introduction to a like-minded soul, it turns out he didn’t have to.
The states can do what they will, but the association of state securities regulators is focused on making its position clear on Regulation Best Interest.
About 1.2 million square feet (111,000 square meters) of office space will get an overhaul in the next 15 months to put technology experts closer to brokers, traders and bankers.
The group’s new president-elect, a millennial, discusses the FPA’s stance on state regulation, his plans in the new role and the perspective of young planners.