WealthManagment.com Daily Memo
Wealth Management Daily Memo

OCTOBER 9, 2020

PEOPLE

Tom Nally, 7 Other Execs Out at TD Ameritrade

The leadership changes come just days after Charles Schwab closed its acquisition of TD Ameritrade.

FULL ARTICLE

REGULATION AND COMPLIANCE

SEC Offers More Guidance on Form CRS Disciplinary Disclosures

The SEC's guidance comes weeks after news reports indicating that many firms were failing to properly disclose prior issues, and stresses that firms cannot omit the disciplinary section, regardless of the answer they give.  

FULL ARTICLE

SPONSORED CONTENT

In Support of Going Independent

Many advisors are contemplating a jump to an RIA model. Those that have done so largely feel it was worthwhile.

DOWNLOAD NOW

EDITOR'S LETTER

Advisors and ESG: Not a Natural Fit

Financial advisors have been slow to bring ESG into their practices. Why?

FULL ARTICLE

Wealthies Circle Spotlight

Tax Benefit Calculator

Tax loss harvesting is a key benefit to direct indexing. While it is tremendously valuable, investors often find it difficult to understand. To help advisors explain the value of direct indexing, Just Invest built a tax benefit calculator.

LEARN MORE

VISIT THE WEALTHIES CIRCLE