The training released by the SEC, FINRA and NASAA is intended to help firms and financial services professionals comply with the 2018 Senior Safe Act, and lists a number of “red flags” that should raise advisors' and brokers’ suspicions.
As wealth management firms prepare to return to a new normal, the real winners will be those who make best respond to the challenges and lessons learned from the past year.
Steward Partners, a $23 billion hybrid affiliated with Raymond James, is moving toward a multi-custodial model and chose Goldman Sachs to support that effort.
