Results for "securities america inc"

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Top independent broker-dealers ranked by revenue

April 21, 2018

Firm 2017 % revenue ($M) % change vs. 2016 2017 commission revenue ($M) % change vs. 2016 2017 fee revenue ($M) % change vs. 2016 2017 other revenue ($M) % change vs. 2016 1 LPL Financial $4,281.50 5.70% $1,670.80 -3.80% $1,409.20 9.30% $1,201.40...

Things are looking up: IBDs soared in 2017

April 21, 2018

After a dismal 2016, the independent broker-dealer industry came back to life in 2017, with the top 25 IBDs collectively reporting $23.2 billion in revenue, a 13.1% annual increase, according to InvestmentNews research. InvestmentNews has been...

Woodbury latest firm to expand by adding bank brokers

April 10, 2018

Yet another broker-dealer is taking a stab at working with bank brokers, as Woodbury Financial Services on Tuesday said it had acquired $10 billion in brokerage and advisory assets from Capital One Financial Corp. The deal, terms of which were...

SEC orders PNC, Securities America, Geneos to pay $12 million to clients ​

April 6, 2018

The Securities and Exchange Commission has settled with PNC Investments, Securities America Advisors Inc., and Geneos Wealth Management Inc., over charges that the three breached their fiduciary duties to clients and generated millions of dollars...

Guide Clients Through Emotional Ups and Downs To Prevent Costly Decisions

March 12, 2018

Even good people make bad decisions. The client who invests $8,000 in a late night TV real estate scam; quits a lucrative career to join in an ill-advised business venture; or has an out-of-control spending habit. When fueled by emotion or bad...

Three indies bring $719 million to Securities America

March 7, 2018

A Super Office of Supervisory Jurisdiction and two independent financial services firms, which collectively manage $719 million in assets, have affiliated with Securities America Inc. The three are the Gandet Group, of Manahawkin, N.J.; Vizionary...

KMS unit of Ladenburg appoints Erinn Ford president

February 15, 2018

Seattle-based KMS Financial Services, one of the independent broker-dealers owned by Ladenburg Thalmann Financial Services, has named Erinn Ford as its president. Joining the firm in March, she will succeed Tracy "Ace" Forsythe, a 20-year KMS...

LPL Financial signs up 953 NPH advisers and $34.4 billion in assets

February 1, 2018

LPL Financial Holdings Inc. reported Thursday that it was on track to hit its target of bringing over 70% of the revenue of National Planning Holdings, a company it acquired last year. In its fourth-quarter earnings report, LPL did not report...

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%...

Broker-dealers debate big data and other technology promises

November 4, 2017

How successful are​ broker-dealers in harnessing the power of big data and predictive analytics to help advisers grow their practices and retain clients? According to a panel of broker-dealer executives participating in an InvestmentNews Technology...

LPL watching $100 million in NPH production move to rivals, executives say

October 23, 2017

Three key rivals of LPL Financial are scooping up advisers affiliated with the National Planning Holdings broker-dealers who annually generate $100 million in fees and revenues, known as gross dealer concession or GDC in the industry, according...

Private equity eyes advisory firms, but at what cost?

October 18, 2017

Private equity investors have their eyes on the financial advice market, but there's a debate brewing among industry executives over the merits of using that private capital. "Here's a news flash, Charlie: the independent space has been discovered....

For small B-Ds, becoming part of a branch office of a larger firm is a viable exit strategy

August 25, 2017

LPL Financial's acquisition this month of the National Planning Holdings Inc. network of four broker-dealers with 3,200 reps and advisers certainly has the independent broker-dealer industry abuzz, but transactions involving smaller broker-dealers...

Top clearing and custody firms for financial advisers

August 7, 2017

CLEARING FIRMS Listed by reported number of broker-dealer clients Firm Phone/website # of clients % change vs. 2016 Contact Phone/email Pershing (800) 445-4467 714* -3.90% Michael Row (800) 445-4467 One Pershing Plaza, Jersey City, NJ 07399...

Broker-dealers are seeing a cut in annual SIPC assessments; will advisers see the same?

May 16, 2017

Broker-dealers, which loudly complain about increasing costs due to regulation such as the Department of Labor's fiduciary rule, are actually seeing one regulatory expense decrease this year: the annual assessment firms pay to the Securities...

Independent broker-dealer Triad Advisors sues former advisers

May 7, 2017

In a highly unusual move by an independent broker-dealer, Triad Advisors Inc. is suing a group of former advisers who left the firm to start their own broker-dealer. Last October, Triad sued the advisers, David Millican, Jeffrey Shaver and Joseph...

Top independent broker-dealers by revenue and payout

April 23, 2017

Top 50 IBDs ranked by 2016 revenue Bubble view By group Table view Firm 2016 revenue ($M) % change vs. 2015 2016 commission revenue ($M) % change vs. 2015 2016 fee revenue ($M) % change vs. 2015 2016 other revenue ($M) % change vs. 2015 1 LPL...

The Right Approach for Finding the Right Senior Partner

April 1, 2017

For millennials looking to launch a career as a financial advisor, it truly is the best of times and the worst of times. Demand for young professionals who can attract young clients is at an all-time high and expected to grow. On the flipside,...

Securities America to pay another $1 million to Medical Capital Holdings investors in Massachusetts

March 2, 2017

Almost six years after reaching a settlement with the Massachusetts Securities Division, Securities America Inc. will make a final payment of $1 million to investors, many of them seniors, who bought promissory notes issued by Medical Capital...

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