Brian Wall and Joe Nastasi, whose separate businesses at Wells Fargo Advisors Financial Network collectively manage $315 million, have affiliated with LPL.
Wall has spent 44 years as an adviser and producing branch manager. He went independent in 2012. Nastasi, trained as an engineer, worked at IBM before turning his hobby of investing into a career.
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With the move to LPL, the advisers will merge their independent offices in the Kansas City, Mo., metropolitan area.
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.
