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Prospera Financial Services has formalized its suite of succession planning resources to help older advisors monetize their businesses and younger advisors acquire practices or become successors.
Financial firms are continuing to reduce headcount in response to mounting economic and geopolitical uncertainties, higher rates and a slower pace of dealmaking.
The co-founder discusses the why of Bento through to the predictive client-communications platform's just announced partnership with marketing firm FMG Suite.
Haywood USA failed to do due diligence for approximately 134 sales recommendations of private placement offerings totaling nearly $11 million, breaking FINRA rules and violating the SEC's care obligations.
The news comes as Avantax faces three lawsuits and "multiple" demand letters from stockholders asking the company for additional financial disclosures.