Woman-led firm sets up independent practice in Washington state.
Advisors Mark Morasky, Erik Clay and Chris Figaro are launching Vantage Point Private Wealth.
One broker used client funds to pay expenses, while another used client cash to buy real estate.
The firm has welcomed a team from Walnut Creek, California, that was previously with Cetera Advisors.
Crown Capital CEO Darol Paulsen says shared philosophy with LPL will help its advisors spend more time with clients.
The deal between broker-dealer aggregator Wentworth and Kingswood SPAC must be completed by late November.
Meanwhile, Cetera is offering tailored retention bonuses to Securian advisors who manage offices.
The firm has given its support to the National LGBT Chamber of Commerce and the LGBTQ+ advisor business community.
Georgia-based Laura Evans marks the move with the launch of a new independent financial practice.
The Miami Beach, Florida-based advisor, Chuck Roberts, is a 33-year industry veteran and has worked at Stifel since 2016.
Broomall, Pennsylvania-based David W. Rodgers moves for “breadth and depth of services.”
A year after the firm's decision to give advisors more flexibility, 700 Edward Jones financial advisors, or more than 3%, now work in combined offices.
The firm was also ordered to return $8.25 million to retail customers.
Jason Johnson founded 509 Wealth Management in 1998 and manages approximately $400 million in assets.
Broker-dealers are gaining the double whammy of billing higher fees based on more client assets as well as generating more revenue from higher interest rates.
Capital Credit Union is the fifth credit union in recent months to transition between the two wealth management networks.
The father-and-sons team at New Jersey-based Sopher Financial Group’s value LPL as a ‘top of the tech curve’ wealth management firm
Managing partner at Keybridge Wealth Management says team will now have 'complete freedom to advise clients.'
Annual survey reveals highest and lowest scoring firms, while one advisor questions work ethic of some peers.
Desire for more independence, time with clients lead Indiana team to switch from Cetera.
