Puzzle Wealth Solutions, a 10-person, six-adviser team that managed $1.2 billion at UBS Financial Services, has gone independent and affiliated with LPL Financial through Gladstone Wealth Partners, an LPL office of supervisory jurisdiction.
Puzzle, which is led by John Klaas and David Millington, has opened offices in Schaumburg, Illinois, a suburb northwest of Chicago.
Klaas started in the industry in 1988 and had been at UBS since 2007, according to his BrokerCheck report. Millington has 21 years of experience and had also been at UBS since 2007.
Meanwhile, DPL Financial Partners adds two annuity executives and Prime Capital Financial hires a Mid-Atlantic retirement plan consultant
Andrew Komarow pleaded guilty Thursday in federal court in Hartford to defrauding three financial services companies of close to $3.3 million.
Elsewhere, Cetera picks up a $210 million Connecticut team from MML, while Wells Fargo FiNet adds a San Diego family practice from LPL
Celebrity endorsements, $500M in claimed assets, and a state regulator stepping in.
“We needed to become a more agile and efficient organization,” said American Express CEO Stephen Squeri.
Knighthead Life entered the market with a competitive MYGA. A strong launch earned advisor confidence and paved the way for FIAs.
As AI makes financial information more accessible than ever, Lana Hock explains why human judgment, trust, and empathy remain the qualities clients value most in a financial advisor
