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Tony Smith of Stonegate Investment Group discusses transitioning from UBS after 14 years and $4.4 billion in AUM to independence and building the business to $6 billion, including the motivations to make a change at this stage of his career and...
The regulator found firm employees were using unapproved texting apps for business and failing to archive the communications. It follows earlier settlements made with large firms like Bank of America, Morgan Stanley, LPL and Raymond James.
The investigation, which spanned four years and involved 14 state regulators, revolved around how the firm supervised the transferring of brokerage account assets into advisory accounts.
The Financial Services Institute also brought on four new board members, including Commonwealth Chief Regulatory Affairs Officer Robert Molinari and Broadridge Financial Solutions President Chris Perry.
