Mark Scaglione is based in the firm's Tampa, Fla., office.
Pursuit of scale combined with rising valuations is driving the sellers' market.
Deal could benefit American Funds by providing more asset retention and increased exposure among plan sponsors.
When should you do a retirement plan rollover and when shouldn’t you? Find out in this article
The company will join other broker-dealers cross-selling banking products such as mortgages and home equity loans through its adviser workforce.
Wells spent $1.2 million on lobbying in the first quarter, far exceeding other individual banks and financial firms.
The company called it a challenging first quarter, with pretax profits for wealth management Americas declining 6%.
The firm's better-than-expected inflows in the first quarter marked a rebound from fourth-quarter outflows.
Buckman, Buckman & Reid settles charges it failed to supervise two reps.
Regulator augmented fine proceeds with $20 million from reserves to bolster technology, examination program.
Merger of New York-based firms will create company managing $7 billion.
Jeffrey Weiss, 65, was well known for flying for charities.
Meloria Wealth and Allied Financial link with Evolution Financial Advisors.
Groups eligible for no-load version were steered to other funds, Finra says.
J.R. Koeijmans and Lance Whitworth join firm's Dallas office.
Shelley O'Connor will now head the firm's bank units, while Andy Saperstein will be sole leader of wealth management.
Office of Financial Innovation to help regulator keep pace with technology.
Effort off to fast start with bipartisan House support, but skeptics questions annuities provision.
Regulator says James E. 'Jeb' Bashaw borrowed $200,000 from a client in 2013 without telling LPL.
Louis 'Marty' Blazer said he gave $10,000 to a player with hopes he could represent him when he turned pro.
