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.
In regards to the new fund, called WVB All Markets Fund, Morningstar analysts wrote that, "despite the brand-name pedigree of the asset managers involved, most of these strategies are untested."
A veteran with global roots strengthens Twenty Four Wealth's presence in Connecticut, while LPL's newest employee advisor comes with experience from the sports industry.
The competing legal strategies appear contrary to Stifel's public statements about defending its structured notes' tactics.
For decades, the bulk of the retail brokerage industry has moved away from selling expensive, proprietary funds.
The IBD has also added a new advisor from Morgan Stanley in Utah, while LPL welcomes an $850 million team from Cetera.
Appointment signals the hybrid RIA's commitment to data-driven decision-making across its five-channel ecosystem.
LPL is an acquisition machine, but the two deals are designed differently.
An effort by the advisor to move to the bank's independent contractor division proved to be a critical detail to the dispute.
The New York-based advisor, formerly affiliated with Securities America, has also been suspended for failing to disclose his status as a beneficiary.
The Alpharetta-based advisor ensemble enters a new chapter in its partnership with the Kestra Financial subsidiary.
The newest transitioners bolster LPL and Wells Fargo's talent pool in Texas and North Carolina, respectively.
Two-thirds of direct indexing users expect to ramp up adoption, particularly in the high-net-worth space, though many still face operational barriers.
The incoming executive, whose career includes a stint at Wells Fargo Advisors, comes with significant experience in staging corporate turnarounds.
The tax-focused community within Cetera deepens an existing partnership as CSP grows to $10.7 billion in AUM with a new Florida location.
"It should be literally impossible for a broker to put 96% of a client's money in any investment," said one attorney.
Meanwhile, Raymond James bolsters its employee advisor channel with a former Janney pair in Pennsylvania.
The latest defections from CUSO Financial Services, which operates within LPL, add nearly $500 million in client assets to Osaic's institutional platform.
The campaign series features "Pitch Perfect" film star Anna Kendrick delivering the message, "What if you could?"
