Nessim, president of Kingswood U.S. and CEO of Kingswood's SPAC, takes over the CEO duties of Derek Bruton, who has stepped down.

The SEC claimed George Blankenbaker raised more than $11 million from investors, while the Justice Department also charged him with wire fraud and money laundering.

The well-known financial literacy guru's controversial comments at a recent virtual conference highlight how the majority-centric baby boomer mindset for financial planning no longer works.

The mergers, acquisitions and advisor moves announced from March 29 to April 2, 2021.

The company’s registration statement for the listing has been declared effective by the SEC.

SEI had weeks without competition to review Oranj tech, which will be melded into SEI's Wealth Platform.

The advisors come from Kestra Investment Services, Key Investment Services, Bank of America Merrill Lynch and UBS Financial Services.

The deal between Investment Counsel and LaFleur & Godfrey will mark the latter's second transaction in the past 12 months, and comes after Focus partner firms had a busy 2020 in M&A activity.

Stifel is working to revitalize its sleepy independent broker/dealer, Century Securities, starting with a rebrand and a new chief, former Wells Fargo exec Alex David.

The SEC claimed Douglas Elstun put clients' long-term money in high-risk leveraged and inverse ETFs, funds meant for short-term trading. He was trying to 'please too many people,' his lawyer said.