Old Town Advisors in Albuquerque, New Mexico, is affiliating through OSJ Concurrent Advisors.
Financial adviser moves are up 3.8% year over year through the first five months of the year but down when compared to their most recent high in 2019.
The Pennsylvania-based firm's 40 advisers, who manage $5 billion in assets, will become part of LPL's employee channel.
Stephen Straus began his career in 1968 and was still showing up in the office every day at age 88.
Jennifer Marcontell had been with Edward Jones for 22 years in Baytown, Texas.
The acquisition of American Portfolios could bolster the network's revenue and profit margins over time, according to the rating agency.
The 'external system breach' put the Social Security numbers of 2,188 of the firm's clients at risk, according to the Maine Attorney General's office.
The deal for American Portfolios Financial Services Inc., a New York independent broker-dealer, brings Advisor Group 850 advisers who oversee close to $40 billion in client assets.
Some custodians and IBDs will require that an advisory firm move its assets off their platform if the firm is acquired or merges with one of the consolidators.
United Planners' Financial Services was negligent in 2018 when it failed to inform clients that GPB had missed a deadline for filing financial information, according to Finra.
The Private Client Service Network will help select LPL advisers assist their clients with such tasks as the sale of small or midsize businesses; hedging concentrated stock positions; and specialty lending.
The three advisers are setting up shop as Harvest Wealth in the Maryland suburbs of Washington.
Four advisers in Columbia, South Carolina, form Vision Wealth Advisors.
Wells Fargo's IBD, FiNet, hasn't been 'a growth priority' for the wirehouse. Now it is. How has the strategy changed?
Boenning & Scattergood is nearing an expected restructuring and may sell its wealth management business, according to the Philadelphia Inquirer.
Bill Hamm of IFP Securities said the SEC started its inquiries last year into broker-dealers that had sold GWG bonds.
Encore Capital Management, based in Glendale, California, affiliated with LPL Financial through the Financial Services Network, an OSJ on the LPL platform.
The greatest opportunity for change lies in the middle — at the branch or regional management level — where diversity programs fall behind or are abandoned in favor of the status quo.
Samantha Trebesch previously led the firm's private client group strategy and planning team.
The father-and-son team of Bill and W. Grove Stewart will operate as Stewart Wealth Advisory Group in Annapolis, Maryland.
