Added on August 2018 in M&A Issues
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Summary:AssetMark, a turnkey asset management platform, or TAMP, that offers investment and consulting services to financial advisors, said Monday it acquired Global Financial Private Capital in a deal that surprised few in the industry.
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Summary: There’s little doubt that smartphones are becoming the dominant method for consumers to engage with service providers. So it’s safe to settle any previous debates about whether financial services companies should invest valuable time and resources into their mobile presence. The more relevant question now is whether mobile-friendly websites are enough or if companies should take the plunge and develop their own mobile apps.
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Summary: Selling away refers to selling securities without processing the order through your firm or without your firm's permission or knowledge, and this practice is a violation of FINRA rules, whether or not compensation is involved.
Added on August 2018 in Form an RIA
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Summary: After almost 20 years in the business — the bulk of it at wirehouses — Tim Davis made the leap to an RIA nearly a year ago.
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Summary: Wealth managers believe health insurance is the single biggest healthcare-related issue currently facing their clients, according to a recent study.
