SEC Enforcement: H.D. Vest Failed to Monitor Reps’ Outside Activities
Meanwhile, the SEC froze the assets of a fund manager charged with running a Twitter-related Ponzi scheme using money from a fake Uber-related fund.
HD Vest Reps Add $94M in AUM Thanks to Tax Talks, Tools
An enhanced software program helps reps process more client information so they can grow their practices.
H.D. Vest Picks a Compliance-Friendly Social Media Platform
Guess which compliant and secure social media platform H.D. Vest chose for its 4,600 advisors after a year of research?
2012 Advisor Hall of Fame
Welcome to Research magazine’s Advisor Hall of Fame, now in its 22nd year.
Twenty-five years ago, Investment Advisor was founded. Fifteen years ago, IA ran its premiere directory of independent broker/dealers. Much has changed over that time, and...