Ex-NFL Player Finds New Field, Similar Strategy at RIA Serving Ultra-Wealthy
By Jane Wollman RusoffAfter retiring at 30, former Broncos wide receiver Bennie Fowler is leading market expansion at Caprock.
May 31, 2024
Not All Advisor Credentials Are Created Equal: IWISean Walters, the nonprofit's CEO, noted that only a handful are vetted and certified by recognized third parties.
May 02, 2024
FINRA Files to Extend CE Deadlines for Brokers on a BreakBrokers who left the industry would have more time to complete CE requirements under FINRA's Maintaining Qualifications Program, or MQP.
April 15, 2024
Pass Rate and Turnout Grow for CFP ExamThe March 2024 test was administered to 3,683 candidates, breaking the record set a year ago.
November 29, 2023
FINRA Fines Ex-Morgan Stanley Employee for Using Cell Phone During Series 7 ExamThe employee used his phone despite telling the proctor it was in another room, according to FINRA.
November 15, 2023
Florida Executive to Lead Health Insurer's GroupAt AHIP, Pat Geraghty will help shape legislation and regulations around Medicare and other insurance products.
November 14, 2023
Advisors Selling Annuities, Beware: CFP Standards and NAIC Annuity Sales Rules DifferWhen CFP Board rules are stricter than NAIC rules, CFPs must follow the higher standard of care.
July 31, 2023
FPA Joins New Coalition to Back 529 Plan BillThe Tomorrow's Workforce Coalition is championing legislation that allows 529 plan funds to be used to cover the costs of maintaining professional credentials.