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The biggest NPH firms LPL has retained - Retention battle

December 14, 2017

In August, LPL Financial said it had acquired the four broker-dealers of the National Planning Holdings (NPH) network for $325 million, plus a possible contingency fee, from Jackson National, an insurance company. Since then competition for...

Finra bars former Next rep over incomplete information

December 13, 2017

The Financial Industry Regulatory Authority Inc. has barred former Next Financial broker JoeAnn Walker for not producing the complete documentation it had requested in connection with an inquiry. Ms. Walker was terminated by Next Financial in...

LPL retains $1.6B Zuk Financial Group

December 12, 2017

Zuk Financial Group, a Lake Forest, Calif.-based hybrid that oversaw $1.6 billion in client assets while affiliated with National Planning Corp., has decided to remain with that firm's new owner, LPL Financial. LPL bought the assets of NPC's...

Raymond James, Stifel pick up wirehouse advisers

December 11, 2017

Morgan Stanley loses $145 million rep to Raymond James in Chicago Mr. Dow began his financial services career with Smith Barney in 1997 and remained with its successor firms until joining Raymond James. He joined with his associate, Laura Sanchez....

LPL signs $530 million NPH-firm, Fross & Fross Wealth Management

December 7, 2017

LPL Financial has retained Fross & Fross Wealth Management, a $530 million firm previously affiliated with SII Investments, a subsidiary of National Planning Holdings. Fross & Fross, located in the The Villages, Fla., is the latest firm to choose...

LPL retains $4.3 billion at The Planners Network

December 7, 2017

The more than 75 advisers who constitute The Planners Network—and manage, administer or advise on more than $4.3 billion in assets—have individually decided to stay with LPL Financial. Most of TPN's advisers operate as single-person or small...

Wentworth buys Purshe Kaplan Sterling

December 5, 2017

Independent broker-dealer mergers and acquisitions continue to heat up as a buyer of wealth management businesses, Wentworth Management Services, said on Tuesday afternoon it acquired Purshe Kaplan Sterling Investments, a boutique firm that...

Wells Fargo adviser managing $219 million joins Ameriprise

December 4, 2017

Michael Huffman, who managed $219 million in assets in the Mesa, Ariz., office of Wells Fargo Advisors, has joined the employee channel of Ameriprise Financial. Mr. Huffman began his securities career at Kober Financial in 1991 and spent time...

The Art & Science of Scaling

December 1, 2017

To position your practice to handle competition and growth, it must be scalable. A scalable business provides the flexibility needed to adapt to change and the evolving needs of clients. Learn how to achieve your goals through practice scalability...

New RIA aggregator enters 401(k) market

November 30, 2017

Hub International is a neophyte among so-called RIA aggregators focused on the retirement plan market, but it's making a grand entrance that signals competitive heft and further hints at a growing consolidation trend among plan advisers. Aggregators...

Fidelity and Lincoln collaborate on custom technology suite

November 29, 2017

Fidelity's investment on adviser technology is starting to pay off. Over the last three years, Fidelity Clearing & Custody Solutions has collaborated with Lincoln Financial Network on a custom-built technology suite for Lincoln's retail advisers....

Former H.D. Vest broker barred for noncooperation

November 22, 2017

The Financial Industry Regulatory Authority has barred former H.D. Vest broker Brian Royster for failure to provide information in connection with its investigation of his activities with clients. On January 12, 2017, H.D. Vest terminated Mr....

Do specialized retirement plan advisers even need a broker-dealer?

November 22, 2017

Financial advisers who specialize in the retirement plan market may find themselves considering a break from their broker-dealer. The past several years have seen 401(k) specialists, similar to wealth managers in the retail market, migrate toward...

LPL and NPH: The biggest teams to flee the merger - Fierce competition

November 21, 2017

In August, LPL Financial said it had acquired the four broker-dealers of the National Planning Holdings (NPH) network for $325 million, plus a possible contingency fee, from Jackson National, an insurance company. Since then competition for...

Financial Focus takes $446 million in assets from NPC to Securities America

November 16, 2017

Financial Focus, a hybrid RIA managing $446 million in assets in Carlsbad, Calif., has switched affiliations from National Planning Corp. to Securities America. The all-female advisory firm, founded in 1984, specializes in serving women investors....

LPL's recruiting of top advisers falls for third straight quarter

November 15, 2017

Recruiting large advisers, individuals or groups with more than $100 million or greater in assets has fallen off a cliff this year at LPL Financial. According to data publicly reported by the company, LPL has seen a sharp decline each quarter...

Can Robert Moore save Cetera?

November 11, 2017

Cetera Financial Group's Halloween office party this year, CEO Robert Moore dressed up as the Cowardly Lion from the "Wizard of Oz." A more appropriate costume might have been Hercules, who famously completed 12 labors as a penance, since many...

Measuring the 'Trump rally' against past presidents

November 9, 2017

The best and worst post-election stock market rallies from Dwight D. Eisenhower to Donald J. Trump. Since election day, the stock market has been on a tear, including a 15.7% gain by the S&P 500 Index so far this year. But, tracking the performance...

LPL loses another big team to Securities America

November 9, 2017

Securities America Inc. has snagged another large branch of advisers formerly affiliated with National Planning Holdings, the broker-dealer network LPL Financial bought in August for $325 million. Part of the Ladenburg Thalmann Financial Services...

LPL says it's on track to recruit 70% of National Planning Holdings revenue

November 8, 2017

A number of large teams in the National Planning Holdings adviser network have moved to rivals, but LPL Financial assured investors that in the initial phase of moving advisers from two of NPH's broker-dealers, it is on track to transfer 70%...

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