COVID-19 slowed down but did not halt the flow of advisers fleeing wirehouse firms for the independent channel
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Patrick Fontana and Michael Dunham move to Raymond James affiliate in Dallas
The fintech led a movement to virtually eliminate commissions, cut racial investing disparities in half and dramatically increase stock ownership among investors
The shortcomings were related to supervision of some dually registered reps, according to the regulator
The mother-and-son team of Paulette and Beaux Treguboff affiliate in Glendale, Arizona
The deals reportedly range from 30% to 50% of an adviser's prior year's revenues
Pierson Wealth Management is based in Santa Clarita, California
Joe Mastroianni in Venice, Florida, is affiliating with LPL through OSJ Gladstone
The rating agency kept its junk rating of B- for Advisor Group bonds
The 10-year-old Rosemont Financial Group based in Albany, New York has 11 financial advisers
The largest broker-dealer picked up 900-plus advisers, but most importantly at the right price
The transaction will cost LPL Financial $300 million and represents $63 billion in assets
Two former wirehouse brokers run afoul of Reg S-P, according to Finra
Nautica Wealth Advisors had moved with its OSJ to Cetera for three years
The Scottsdale, Arizona, practice, which includes 30 advisers, joins from Securities America
Keith Ashley was already under investigation by the FBI, according to local police
Mario Perez is moving to the Baird office in Sacramento, California
George Chardukian, Adam Goldstein and Maria Peralta form Adara Wealth Management in Tucson, Arizona
Stolz-Smith Financial Consulting Group is opening a branch in Midland, Michigan
