Dual Registrants

For standalone financial planning, we do not monitor your account unless we agree in writing to do so

The information in this Form CRS is subject to the more complete terms and conditions of our brokerage or investment advisory agreements and disclosures (including ...

Your Investment Professional has an incentive to recommend transfers or rollovers of existing accounts into your Davenport advisory account to increase the amount of assets ...

The dual registrant will now pay a $5 million penalty

Digital advisors and broker-dealers sprung up as a way to simplify the lives of ordinary investors. Now those companies that famously disrupted the financial services ...

New issue municipal bonds were improperly obtained

A New York Supreme Court justice has ordered the assets of a private fund and related broker-dealer frozen, after evidence revealed “a shocking level of ...

Jay Costa Kelter was sentenced to a prison term of 29 months

Failures tied to share class selection calculator trip up dual registrant

A failure to conduct reviews at specified intervals to determine if advisory accounts remained suitable for clients or if their assets should be moved to ...