Retirement Industry People Moves
Smart hires group sustainability director; SageView adds government and public sector retirement plan expert; and Adviser Group adds business strategies and compliance expert.
Source: planadviser.com
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Advisor Group Continues To Grow and Build On Its Strategic Vision With Addition Of Experienced Business Strategist and Compliance Expert
/PRNewswire/ -- Advisor Group, the nation's largest network of independent wealth management firms, today announced the appointments of Dimple Shah as...
Source: prnewswire.com
Finra tags two firms with penalties due to mutual fund sales
Finra wrapped up 2021 with settlements and penalties against two broker-dealers that work with independent-contractor financial advisers.
Source: investmentnews.com