Larry Roth, president and CEO of the AIG Advisor Group broker/dealer Royal Alliance Associates, announced several management promotions on September 21. Clara Sierra, senior VP of Investment Advisory Services was named senior VP, investment advisory services and marketing; Gary Bender, formerly first VP and national recruiting manager, was named senior VP and national recruiting manager; and LeeEllen Waker-Redd, formerly VP, regional management, was named first VP, business development and elite sponsor relations.
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Part II in a series of articles on working with ultra-high-net-worth clients from IMCA's Investments & Wealth Monitor takes a look at the biggest trends...
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Oct 05, 2016
Some broker-dealers have already decided to exit certain lines of business and are sizing up how the rule will impact their IT and compliance budgets....
Sep 13, 2016
Nationwide is providing a deeper look into the rule’s implications and a discussion of decisions firms will need to make in order to comply.
Aug 24, 2016
Many affected firms and individuals are well-versed in the complexities of the new rule but still have detailed questions. Others are still familiarizing themselves with...