The Pittsburgh-based financial firm specializes in securities-based loans.
The father-and-son Riolo Financial Group is based in New City, New York.
The IBD is offering a multiple-employer aggregate program that affiliates can use with small businesses and start-up plans.
The broker-dealer cut ties with Eileen Cure in the wake of allegations of racism on social media. She is now part of a small RIA, Wealth Management of Kentucky.
Guy Rodgers Private Wealth Strategies is based in Mansfield, Texas.
The financial adviser Douglas Chin has affiliated with the independent broker-dealer through Gladstone Wealth Partners in Red Bank, New Jersey
Lindsey Rhea’s firm, Alia Wealth Partners, is based in Germantown, Tennessee.
Eric Cornell and Patrick Shea have formed their own firm, Helius Wealth, in Palm Beach Gardens, Florida.
Sean Khaligh, who joined Wells in 2007, is affiliating with LPL through The Financial Services Network and has formed EQ Private Wealth Advisors in Palos Verdes, California.
Last year, the SEC charged the unregistered adviser at the heart of the matter with defrauding a town in Puerto Rico and misappropriating $7.1 million.
Veteran advisers in Oklahoma and Utah affiliate with Cetera through Texas-based Farpointe Wealth Partners.
Polaris is headed by partners Corey Basehore and Justin Dunwoody and includes adviser Sarah Leer, two junior advisers and a nine-member office staff.
Wealth Advisory Services, a hybrid in Doylestown, Pennsylvania, had been affiliated with Raymond James for five years.
Carrie Turcotte and Crystal Walker run NorthShore Financial Strategies in Chattanooga, Tennessee.
Altus Consulting Group, based in Texas and Wisconsin, becomes an office of supervisory jurisdiction.
Sandstone Wealth and its two advisers were formerly affiliated with Raymond James and Royal Alliance.
LPL's new deal to attract employee advisers has two parts: an upfront signing bonus and a second bonus that's paid over several years.
David Crossan and John Stephens Jr. set up shop in Manahawkin and Manchester on the New Jersey shore.
John Vande Bossche leads the six-person team in Anaheim, California, that includes his wife, son and daughter.
Francis Ciocari is affiliating with the firm through super OSJ Gladstone Wealth Partners and will be opening an office in Blue Bell, Pennsylvania.
