Rodney Branch, a former executive at Prudential and Athene USA, will lead Luma's marketing efforts as chief marketing officer.

Emily Schlosser leaves Goldman Sachs to join BNY Mellon Pershing as its new COO, succeeding Jim Crowley, who was promoted to CEO a year ago.

Ross promises to use 'dope graphics' and jargon-free language in a video series he hopes will be integrated into classroom curricula across the country.

Advisors Larry Durso, his son Michael and Michael Lombardi have partnered with Dynasty Financial Partners to launch their own RIA.

The addition of David Carroll and Jon Springer is the third team to join the firm since Chris Freimuth and his team left BOK Financial Wealth Group to launch it in March.

The SEC had previously revoked International Investment Group's registration as an investment advisor, and also obtained a final judgment requiring the firm to pay $35 million in disgorgement and prejudgment interest.

In addition to in-person testing at Prometric sites, candidates may take the test remotely, if they live more than 50 miles from a testing center or have a health concern.

The IBD brings over a father/son team that helps teachers navigate their 403(b) plan options, a retirement system laden with problems.

Two new American Century ESG ETFs begin trading, making it the first asset manager to use NYSE's active semi-transparent ETF structure.

The regulator is now taking online test appointments for the Series 7, the Securities Industry Essentials (SIE) and Series 6, as well as NASAA’s Series 63, 65 and 66.