The four-adviser group in Atlanta will open an office for OSJ Bleakley Financial Group.
Mike Fuller and Rob Barber in Arroyo Grande, California, are leaving Raymond James and affiliating with LPL through OSJ Perennial Financial Services.
The broker David A. Rockwell defrauded a bank when he applied for lines of credit in the names of two clients
SmartAsset, with a reach of more than 100 million consumers, matches qualified investors who are searching for financial advice.
The trio of advisers operates as Compass Wealth Solutions and is based in Portland, Indiana.
James Couture was discharged by LPL in June 2020 and barred by Finra last October.
Three sole practitioners managing $297 million in total are also moving to the firm.
Craig Zaleck and Mark Hogan, who are based in Bayonne, New Jersey, will affiliate through super OSJ INC Advisors.
The four-adviser group is moving to the firm’s employee unit in Augusta, Georgia and will operate as the Cypress Wealth Group.
Private Advisor Group has taken the unusual step of launching its own broker-dealer with the intention of putting it in better position to grab referrals.
The Atlanta-based, woman-led team is affiliating through Gladstone Wealth Partners, an office of supervisory jurisdiction.
The overturned Trump regulation would have provided certainty to independent brokers and advisers, FSI said. But an advocacy group says DOL has the authority to go in a different direction.
The broker, Matthew Clason, transferred more than $668,000 from the victim’s investment accounts into a joint bank account and then took most of it, according to the Department of Justice. He faces up to 20 years in prison.
Jeffrey Schiffman joins the firm’s employee unit in Palm Beach Gardens, Florida.
A father-and-son duo in Sarasota, Florida joins the firm’s employee channel.
Called Totus Wealth Management, the group had been registered until the end of last month with MML Investors Services, the broker-dealer arm of MassMutual, the insurance company, according to BrokerCheck.
Joel Drake in Des Moines, Iowa, is affiliating through The Wealth Consulting Group, an office of supervisory jurisdiction.
Group will join firm’s Deer Park, Illinois office in Chicago’s northwest suburbs
James Galkowski will open an office for the firm in Rochester, Minnesota.
The six-person Kraner group based in New Jersey is affiliating through INC Advisor, an office of supervisory jurisdiction.
