When Louis Hanna was fired in 2017, he was 50 years old, had early-stage prostate cancer and was seeking medical leave, according to the complaint.
Ken South and his team open Tower 68 Financial Advisors in Newport Beach, California.
MML Investors Services has entered into a placement agent agreement with NYDIG, a provider of technology and investment solutions that focuses on Bitcoin.
Robert Batick moves from Westport Capital, while Norman Coates made the switch from LPL Financial.
Jeff Anderson and Doug McClure of Bothell, Washington, affiliate through Mainspring Wealth Advisors, an office of supervisory jurisdiction.
Exton, Pennsylvania-based Brumbaugh Wealth Management is affiliating with Cetera through super OSJ AdvisorNet
The family-based team is joining the firm's employee unit and opening an office in West Fort Worth, Texas.
The Glen Allen, Virginia-based firm was founded in 2015 and operates as Capstone Financial Partners.
The largest independent brokerage was firing on all fronts for the three months that ended in June, including recruiting advisers, bringing in net new assets and completing previously announced deals to purchase advisers.
The company's success in 2021 in recruiting advisers comes at a delicate time as the financial advice industry tries to figure out the best way to return to the office amid the Covid-19 pandemic.
Nashville, Tennessee-based GenXFinancial is acquiring Boston Partners Financial Group to form a $9 billion firm.
Kyle Smith and Michael Sandlin are leaving Truist Investment Services in Raleigh, North Carolina.
Members of the partnership, which is affiliated with Raymond James, will be able to tap capital from Merchant Investment Management.
The seed round also featured other prominent participants like founder of Barstool Sports Dave Portnoy and New Enterprise Associates managing general partner Tony Florence.
New report shows financial adviser conference attendees are less impressed with sponsor status than they are with solid content from those sponsors.
Three advisers who operate as West End Advisory in St. Louis make the move.
The mention of GPB auditors in a court filing highlights earlier allegations of executives using clients' money for their own personal benefit. Focused on independent broker-dealers, GPB was a leading seller of high-risk private placements in the past decade.
Four reps from Merrill Lynch join Janney, along with six advisers in two groups from Wells Fargo.
For the increasingly fee-based advisers at independent broker-dealers, the transition to the RIA model is likely to pick up speed in the years to come.
Gregg Johnson, the firm's executive vice president of recruiting and revenue acquisition, has been replaced by Kristen Kimmell from RBC Wealth Management.
