Guy Blakey and Karl Willard, who manage $320 million, have changed their broker-deal affiliation and their corporate registered investment adviser and custodial platform to LPL Financial from Securities America.
The two, who are based in Altamonte Springs, Florida, are using the services of Synergy Wealth Alliance, a large office of supervisory jurisdiction affiliated with LPL Financial.
The undoing of the penalty, which has hung over the Wall Street bank for seven years, marks a significant victory for CEO Charlie Scharf.
The big three custodian is unveiling new reporting features, UMA functionalities, and a new advisor growth network, along with other updates at its flagship conference.
Michael Bradley faces allegations of “improper recommendation to clients” who bought GPB securities.
The RIA behemoth overseeing more than half a trillion dollars in client assets is adding to that book with a $1.4 billion firm focused on pro athletes in New York.
With over 600 clients, the $71 billion RIA acquirer's latest partner marks its second transaction in Oklahoma.
How intelliflo aims to solve advisors' top tech headaches—without sacrificing the personal touch clients crave
From direct lending to asset-based finance to commercial real estate debt.
