WealthManagement.com Daily Memo
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REGULATION AND COMPLIANCE | | | Patrick Donachie | In the latest filing in its suit against FINRA in federal court, the Utah-based brokerage firm disputed the regulator’s claims that a ruling against it could have a dire impact on investors. FULL ARTICLE |
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RPA EDGE | | Fred Barstein | While wealth advisors need to serve smaller/start-up plans. FULL ARTICLE |
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WHITE PAPER | | Sponsored by Laserfiche | Leverage AI for enhanced client experiences and operational efficiency. LEARN MORE |
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WHAT'S IN MY WEALTHSTACK | | Rob Burgess | Ron Chandler, president of Summit Investment Management, provides an honest assessment of the technology tools used by the $75-million-AUM firm to work with clients and drive business. FULL ARTICLE |
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PEOPLE | | Sridhar Natarajan | Jed Finn was closely involved in helping integrate the Smith Barney brokerage business that Morgan Stanley purchased from Citigroup Inc. FULL ARTICLE |
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WMTV ON LOCATION | | Sponsored by Succession Resource Group | David Grau Jr., MBA at Succession Resource Group, discusses advisor succession. WATCH NOW |
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