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 sales and marketing automation firm has acquired a competitor with a lead in social media automation.
It looks like the firm is preparing to go 'all in' on the RIA custody business.
Steward Concepts, with $149 million in client assets, joins Ameriprise Financial in Rock Hill, S.C.
ClearPoint Capital joins Ameriprise from LPL Financial. The firm was founded by Michael Tuell, and he is joined by his children Jillian and John who are working to become licensed advisors.
With its latest series of funding, sales and marketing platform Seismic is now valued at $1.6 billion.
Advisors Paul Castro and Erik Steudle recently joined Good Life, an LPL Financial large enterprise, from UnionBanc Investment Services and Ameriprise, respectively.