James Chen, CMT is an expert trader, investment adviser, and global market strategist. Investopedia / Theresa Chiechi The Investment Adviser Registration Depository (IARD) is an electronic system ...

The SEC’s complaint, filed on June 4, in the Central District of California, alleged that, in June 2021, Nash and El Capitan entered into an agreement with a public company advisory client to provide ...

A California investment advisor has been charged in federal court with defrauding a Libertyville client out of approximately $500,000, authorities said. Jordan Roman, 47, of Rancho Park, Calif ...

California financial advisor gives tips on writing a will to secure your family's future. APPROXIMATELY 68% OF AMERICANS. DIE WITH OR WITHOUT A WILL OR A TRUST IN CALIFORNIA.

To find out more about an advisor's company, Miles suggests googling Form ADV Part 2 with the term "investment adviser registration" and the company's name. The form will disclose all of the ...

I live in California, and have a financial adviser who is charging 0.84% to manage my $2.3 million portfolio. Should I switch up how I pay her?

Registration authority is unique to California. The Democratic-controlled legislature passed the California Consumer Financial Protection Law in 2020 that requires companies offering certain financial ...

A Santa Barbara County investment advisor pleaded guilty on Tuesday to stealing about $2.25 million from her elderly clients – some of whom were receiving end-of-life care. The Department of ...

Financial Advisor magazine produces the Alternative Investment Strategies, ... California 'Advisor' Scam Allegedly Targeted Fellow Synagogue Members. ... However, he has no broker registration, ...