LPL finds itself in the headlines for the third time this week as a former adviser gets charged by the SEC for stealing $2 million from clients.
Insurer's B-D group now has more than 6,000 independent reps and advisers.
Recruiters say management at Woodbury Financial, which is being acquired by AIG's broker-dealer, has doubled down on retention packages in a bid to keep reps in their seats.
Finra chief says fixed income, structured products demand straight talk to clients.
Broker-dealer works to enhance systems to get over latest compliance hurdle.
B-D adds 'superbranch' but with thin annual production levels.
Start-up Lion Street in position to poach NFP reps and advisers.
Denial-of-service attack did not impact customer accounts or data, firm says.
Recruiting slows for LPL, Raymond James in otherwise solid quarter as reps and advisers stay put to keep focus on clients amid stock market rally.
At minimum, every advisor should have a personalized, written emergency continuity plan in place. And the best, most complete solution is a funded continuity and succession plan backed by emergency on-site support in the event of a challenge to business continuity.
Revenue from fees stabilizes income in commission-heavy industry
The lull in brokerage recruitment that marked the start of the year is now officially a doldrum, as reps at larger firms are staying in their seats. <b>Advisers on the Move:</b> <a href=http://data.investmentnews.com/aotm/?W=WHERE|2_2687055a(gte)[2013-01-01]:2_2687055a(lte)[2013-04-25]>Who's jumped this year</a>
Bruce Kelly reports that LPL management was caught off guard by news that Montana is probing the brokerage's sale of nontraded REITs.
Report claims Montana preparing case against multiple LPL brokers.
