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Triad Advisors dinged $194,000 by Finra over supervision
Short-term mutual fund trades and variable annuity switching is generally regarded in the retail securities industry as a way for brokers and advisers to increase commissions at the expense of clients.
Advisor Group, Cetera get boost to credit outlook
Moody's Investors Service this month gave a shot in the arm to the parents of Advisor Group and Cetera Financial Group when it raised its credit outlook from negative to stable for both. Advisor Group is home to 10,500 reps and advisers and Cetera has about 7,500 under its roof.
Advisor Group still facing hurdles on debt: Fitch Ratings
The rating agency kept its junk rating of B- for Advisor Group bonds
Super OSJ overseeing $975 million shifts to Royal Alliance from Penn Mutual
Pacific Capital Resource Group, based in Bellevue, Washington, supervises 40 reps
Advisor Group cuts pricing for wrap fee accounts
Broker-dealers have been competing to lower fees in order to reduce potential conflicts of interest
Securities America loses top executive to Carson Group
The departure of Kevin Miller, formerly executive vice president, adds to a growing list of high-level employees to leave the firm in recent months
Hybrid managing $220 million moves to LPL from Advisor Group
Father-and-sons team at Portland, Oregon-based Pacific Northwest Retirement Planners serves many Alaskans
Hybrid joins LPL from Advisor Group
Family-run Hendrix Group Financial Services is based in Birmingham, Alabama, and had been affiliated with Securities Service Network
SSN back office faces layoffs after Advisor Group merger
Half of the employees will stay on, but some portion will likely be let go, according to sources
Hybrid managing $300 million joins LPL from KMS
Stabler Wealth Management is based in Bellevue, Washington
Securities America team managing $800 million moves to LPL
Equitrust Financial Group has five advisers and is based in Deerfield, Illinois
Hybrid managing $160 million switches to LPL from Advisor Group
Cornerstone Financial Planning in Florida is led by a brother-sister team
Advisor Group unveils redesigned UMA platform
The broker-dealer network added multiple enhancements to the 10-year-old platform from portfolio management tools to reduced account minimums
Hybrid managing $530 million moves to LPL
Bernicke Wealth Management is leaving Triad and TD Ameritrade
Advisor Group deploys electronic tools ahead of Reg BI
The broker-dealer network added eConsent and eDelivery tools designed with compliance changes in mind
Misinformation about private equity ownership distracts advisers at vital time
Here are key questions advisers should ask when assessing a firm owned by private equity
SagePoint censured and fined $300,000 over UITs
Finra says the Advisor Group unit failed to supervise early rollovers of unit investment trusts
$400 million hybrid joins LPL from Securities America
Missouri-based Niklas Financial will align with JFC Financial Services, which moved to LPL from Securities America last month
Advisor Group to consolidate three former Ladenburg broker-dealers
The broker-dealers will be rolled into Securities America
Advisor Group latest B-D network to halt sales of real estate products
The giant IBD said real estate valuations have become murky as a result of the pandemic
