Francis Ciocari, who managed $300 million at Morgan Stanley in Blue Bell, Pennsylvania, has gone independent and affiliated with LPL Financial through Gladstone Wealth Partners, an office of supervisory jurisdiction for the firm.
He will be opening an office for Gladstone, a super OSJ, in Blue Bell along with his longtime assistant, Christine Buck Nolan.
Ciocari was with Morgan Stanley for eight years and began his career at Merrill Lynch in 1998.
Despite a lighter regulatory outlook and staffing disruptions at the SEC, one compliance expert says RIA firms shouldn't expect a "free pass."
FINRA has been focused on firms and their use of social media for several years.
RayJay's latest additions bolster its independent advisor channel's presence across Pennsylvania, Florida, and Washington.
The deal ending more than 30 years of ownership by the Swiss bank includes six investment strategies representing more than $11 billion in AUM.
Divorce, widowhood, and retirement are events when financial advisors may provide stability and guidance.
How intelliflo aims to solve advisors' top tech headaches—without sacrificing the personal touch clients crave
From direct lending to asset-based finance to commercial real estate debt.
