John Peterson wanted his small financial advisory firm, CWM Financial Group in Gaithersburg, Md., to grow but he had reached his limit for handling new clients. He turned to a larger firm for help.
Concorde announced today that licensed securities professional Ehud Gersten has joined the firm's broker-dealer, Concorde Investment Services. Gersten specializes in tax-advantaged investment ...
Asset managers struggle to find shelf space for newly launched ETFs on broker/dealer platforms, including actively managed ...
According to recent research, over half of all advisors have made, or are considering making, a change in the last five years. And the reasons why are compelling, most notably the fact that advisors ...
On December 20, 2024, the Securities and Exchange Commission (SEC) issued a final rule amending SEC rules 15c3-3 (the customer protection rule) and 15c3-1 (the net capital rule). The SEC also amended ...
tZERO's Special Purpose Broker Dealer (one of two in the US) and Tokenization Unit continue to lead compliant Digital Securities end-to-end lifecycle, new capabilities to enhance transparency, ...
The independent broker-dealer’s new 13-story San Diego headquarters is the nation’s largest net-zero energy building, says the firm. The independent broker-dealer increased its financial advisor rep ...
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