See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
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The firm agreed to settle charges with the regulator after it charged LPL Financial supervisors failed to ensure the suitability of certain transactions made by reps on behalf of clients.
Confluence Financial Planning’s six associates will continue to operate out of their Sacramento office. It’ll be Mariner’s first location in the city, and 15th in California.
Fidelity, WisdomTree, BlackRock and JPMorgan Securities have all named Jane Street Capital as their "authorized participant" for a possible spot Bitcoin ETF.