Tag: brokerage
TD Ameritrade CEO Tim Hockey to Resign
TD Ameritrade Holding Corporation (Nasdaq: AMTD) said late Monday that its president and chief executive officer Tim Hockey will leave the company in February...
Advisor Group Launches Cybersecurity Program for Advisors and Clients
Advisor Group, one of the nation’s largest networks of independent wealth management firms, has introduced its CyberGuard Program, a cybersecurity services and support platform...
SEC Bars Longtime Transamerica Broker for Stealing
The Securities and Exchange Commission has barred Pedro Gonzalez-Seijo, a broker formerly affiliated with Transamerica Financial Advisors Inc., after he pled guilty to bank...
Artivest Names New Chief Financial Officer
Artivest, an independent digital platform for alternative investing, has appointed Karl Jaeger as chief financial officer.
Jaeger has more than 25 years of experience in...
FINRA Bars Former Cetera Advisors Rep
Financial Industry Regulatory Authority has barred former Cetera Advisors representative George C. Merhoff Jr. for failing to provide documents and information to the regulators...
FINRA Bars Former LPL Rep
Financial Industry Regulatory Authority has barred former LPL Financial representative Jason Nelson for refusing to provide testimony to regulators in connection with his termination...
Wells Fargo Names New Head of Asset Management Unit
Wells Fargo & Co. (NYSE: WFC), a financial services company with $1.9 trillion in assets, has appointed Nico Marais as chief executive officer and...
Blucora Hires Former Cetera Exec as President of Wealth Management
Blucora Inc., a firm focusing on wealth management and tax preparation, has named Enrique Vasquez as president of wealth management, where he will be...
Artivest Hires Former Raymond James Alternative Investment Platform Exec
Artivest, a digital platform for alternative investing, has hired former Raymond James executive James Hale as head of platform, a newly created position for...
Independent Broker-Dealers and RIAs Expect Higher Revenues in 2019
ADISA, a trade association representing the retail alternative investment space, has released the results of its inaugural market prediction survey, which was conducted with...
