Rapidly advancing technology poses an array of challenges for today's financial advisors. A group of tech vendors, b/ds and others discussed them all during a Wealth Management Industry Awards Technology Roundtable discussion.
The gala, held at the Ziegfeld Ballroom in Manhattan, included new categories honoring CMOs at asset managers and broker/dealers, as well as more awards focused on fintech.
The man continued to sell annuity contracts, even though he was no longer licensed to sell insurance or securities, according to allegations by the Massachusetts Secretary of the Commonwealth.
LPL's branch recruiting is up 45% over a year ago, as the broker/dealer increases recruiting support and opens up the lines of communication to hybrid firms.
