RIA consulting firm FP Transitions has tapped Scott Leak, whose institutional sales role at TDAI was cut in the wake of Schwab's acquisition, as a senior consultant.
Melanie Senter Lubin will succeed current President Lisa Hopkins, West Virginia’s senior deputy securities commissioner, after NASAA's annual meeting in September.
Miami-based Investor Solutions is Wealth Enhancement Group’s first South Florida location.
Charles Schwab's robo strategy for cash cost investors millions in the past six years. It's also a missed revenue opportunity for the discount brokerage, according to Backend Benchmarking's Robo Report.
Tower 68 is LPL's 11th team to come through its premium affiliation model for wirehouse and regional broker breakaways.
FINRA said this week it would be examining 'account supervision' and 'communications' and would include self-directed accounts as well as those where reps made recommendations.
Commonwealth Advisory Group expands Mariner Wealth Advisors' Pennsylvania presence and focus on professional athletes and entrepreneurs.
Alight went public in July through a merger with Foley Trasimene Acquisition Corp.
