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19 Sep 2023, 7:00 am
The firms were Artemis Wealth Advisors, LLC; Trowbridge Capital Partners, LLC; MRA Advisory Group; McElhenny Sheffield Capital Management, LLC; Macroclimate, LLC; Linden Thomas Advisory Services, LLC; Hansen & Associates Financial Group, Inc.; Elm Partners Management, LLC; BTS Asset Management Inc. and Banorte Asset Management, Inc. [read post]
21 Sep 2015, 6:51 am
Since 2008 Wares has been registered with New Castle Financial Services LLC, First Midwest Securities, Inc., and EKN Financial Services Inc. [read post]
13 Aug 2010, 3:56 pm
Sections 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act codifies the Volcker Rules and broadly prohibits bank proprietary trading and bank sponsoring of hedge funds, while nevertheless permitting certain activities that may technically fall within the definition of proprietary trading but which are, in fact, safer, client-oriented financial services. [read post]
7 Nov 2011, 10:38 am
After paying the advisor, who was from ING Financial Partners, a 7% commission fee, the couple ended up putting $1.2 million - their entire liquid net worth - into two TICs. [read post]
8 Mar 2021, 12:37 pm
Jorge Guzman Pruco Securities, LLC Nelson Polun Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Richard Ramos Wells Fargo Clearing Services LLC Curtis Smiley Primex Sandlapper Securities, LLC David Stateman Allstate Financial Services, LLC AXA Advisors, LLC Dwight Sulc B.B. [read post]
24 May 2021, 6:31 am
Edwards agreed to pay $716,000 in disgorgement and a $650,000 fine; Royal Alliance agreed to pay $502,000; American Portfolios Financial Services agreed to pay $653,000; Securities America agreed to pay $603,000; and Summit Financial Group agreed to pay $606,000 in disgorgement and a $600,000 fine. [read post]
20 Dec 2022, 4:30 am
Like the man says, see your own legal, tax, and financial advisor. [read post]
26 Apr 2012, 11:16 pm
UK Financial Services Authority officials are concerned that, in the absence of clarification, the proposed regulations implementing the Dodd-Frank Volcker Rule provisions may unintentionally interfere with U.K. covered bond structures and as a result have potential negative implications for U.K. banks and possibly the U.K. economy more widely. [read post]
28 May 2021, 2:00 am
The post Recruiting with a Well-Balanced Benefit Offering appeared first on HR Daily Advisor. [read post]
4 Jan 2023, 2:05 am
The post Fight Inflation and Save on Health Care with an HSA appeared first on HR Daily Advisor. [read post]
2 Feb 2023, 12:29 pm
FINRA provides regulatory services to the financial industry, without the need of taxpayer funding and is not a part of the U.S. [read post]
29 Oct 2018, 8:00 am
Scott spoke about the FINRA discovery process, the importance of pre-filing discovery and shared stories of previous experiences including a recent case for a woman named Flossie whose financial advisor tried to make himself a beneficiary of her estate. [read post]
27 Dec 2010, 12:31 pm
She is a Certified Financial Planning Professional™, Advisory Representative offering investments and advisory services through Lincoln Financial Securities Corporation, Member SIPC and President of Premier Advisor Group LLC. [read post]
29 Aug 2024, 1:30 am
Speak with an estate attorney or financial advisor for the latest information on gifting limits. [read post]
20 Jan 2020, 5:25 am
“With financial knowledge in general, people tend to be overconfident,” he said. [read post]
4 Jul 2018, 11:36 am
From May 2004 to August 2007, he was registered with Valic Financial Advisors, Inc. [read post]
27 Apr 2020, 2:00 am
This unpredictability is the primary reason financial wellness services exist. [read post]
4 Jun 2020, 2:00 am
Food service workers, nurses, and financial executives are all very different positions that require different skill sets and levels of screening. [read post]
28 May 2021, 6:56 am
Rodney Repko Lincoln Financial Advisors Corporation Valic Financial Advisors, Inc. [read post]
29 Nov 2011, 9:42 am
• Capital Financial Services: Clients will get $200,000. [read post]
