The mergers, acquisitions and advisor moves you may have missed the week of May 31 to June 4, 2021.
The $221 million independent broker/dealer joins Advisor Group for succession planning.
The annual program honoring individuals and business initiatives that help financial advisors better serve their clients will be held in person in New York City on Sept. 9.
As if Zoom weren't enough, the broker/dealer is working on an augmented reality application that will allow advisors and clients to 'meet' in a virtual room.
The firm is also working toward a hybrid work environment for its branch offices, to facilitate both human and mobile interactions, said CEO Paul Reilly.
Frederick M. Stow pleaded guilty last year for stealing more than $930,000 in funds from two unnamed elderly investors, according to the Department of Justice.
The lines between traditional broker/dealer and RIA are getting blurrier.
'When we come into the finals, we’re not the highest, but we’re in the ballpark,' said CEO Paul Reilly, of the firm’s higher transition packages.
Steward Partners has added the Poljak Group to its quick-growing list of firms.