Securities America to Add 60 Reps, $950M in Assets
CEO Nagengast says the firm is eager to strike more deals with smaller broker-dealers.
Michael Finke, Financial Planning’s Professor: The 2014 IA 25 Profile
“Our hope is to build a set of research-based best practices through our own research,” Finke told IA.
Sallie Krawcheck, Booster of Women on Wall St.: The 2014 IA 25 Profile
Sallie Krawcheck’s “real career” started “just shy of 30,” when she became a research analyst, she told IA in an interview.
Michael Kitces, Nerd Who Does It All: The 2014 IA 25 Profile
One has to wonder how Michael Kitces does it: the advisor, blogger, Twitterphile and industry speaker is constantly evolving and taking on new challenges.
Knut Rostad, Fiduciary’s Long-Term Leader: The 2014 IA 25 Profile
If you want to know about the fiduciary standard, Knut Rostad’s your guy.
Andrew Ceresney, SEC’s Enforcer: The 2014 IA 25 Profile
Andrew Ceresney says keeping up with the increased complexity of wrongdoing is among the biggest challenges for the enforcement division at the SEC.
Mary Jo White: The 2014 IA 25 Extended Profile
"There are a number of ways" to impose a uniform fiduciary duty, the SEC chairwoman told ThinkAdvisor in an exclusive interview.
The IA 25 for 2014
This is our 12th annual IA 25 list, bringing together the most influential people in and around the advisor industry.
Top 15 Cheapest States for Long-Term Care Costs: 2014
Genworth’s 11th annual study provides data on the states with the lowest costs across a range of LTC services.
SEC, FINRA, DOL Enforcement: Iowa Advisor to Repay 68 Pension Plans
In other actions, FINRA censures and fines New York-based Banesto Securities Inc., now known as Santander International Securities Inc., $650,000 for custody failures.