Displaying 130 results
LPL continues strong recruiting from Securities America in 2023
LPL, Osaic and Cetera Financial Group are all 'fighting amongst themselves' to lure advisors, one recruiter notes.
Advisor Group makes rebranding campaign official
A new name is forthcoming, and the firm's eight independent broker-dealers will be merged under that new name in 18 months.
Team managing $300 million at Securities America joins LPL
Vancouver, Washington-based advisors Eric Fenton and Rodney Wangler founded their firm in 2001.
Daughter of New York Ponzi schemer gets more than 6 years in prison
Over two decades, Vania May Bell and her father Hector May 'ruthlessly orchestrated' a multimillion-dollar Ponzi scheme, according to the Feds.
Team with $240 million in assets joins Arkadios from Securities America
WhiteStone Wealth Management Management is based in San Antonio, Texas.
Duo managing $320 million moves to LPL from Securities America
The Altamonte Springs, Florida-based team is using the services of Synergy Wealth Alliance, an OSJ affiliated with LPL.
Securities America team managing $195 million switches to Commonwealth
Four-adviser Opus 111 Group has offices in Seattle and Spokane, Washington.
LPL hauls in Elite Financial Network from Securities America
Elite Financial Network has 32 financial advisers in its network across California.
Securities America team managing $200 million joins LPL
Lamont Financial Group operates from two bank offices in Mason City and Clear Lake, Iowa.
Indies managing $376 million switch to Securities America
Robert Batick moves from Westport Capital, while Norman Coates made the switch from LPL Financial.
Advisor Group replaces top recruiting officer
Gregg Johnson, the firm's executive vice president of recruiting and revenue acquisition, has been replaced by Kristen Kimmell from RBC Wealth Management.
Securities America fined $1.75 million for rogue broker breakdown
The SEC alleges the firm failed to safeguard clients from Hector May, who pleaded guilty to stealing $8 million from clients and was sentenced to 13 years in prison.
OSJ with $2 billion switches to Cadaret Grant from Securities America
Cedar Brook Group, led by William Glubiak, is based in Cleveland and oversees 20 licensed professionals.
Advisor Group firms boost legal reserves
Royal Alliance Associates Inc., SagePoint Financial Inc., and FSC Securities Corp., increased legal reserves by as much as three times the amount of the prior year.
Finra censures, fines Securities America $125,000
Regulator says the firm caused recruits to take nonpublic personal client information.
Father-son duo managing $150 million join LPL
John and Evan McCoy run Integrity Financial Services in Lancaster, Pennsylvania, and were previously affiliated with Securities America
Advisor Group still facing hurdles on debt: Fitch Ratings
The rating agency kept its junk rating of B- for Advisor Group bonds
LPL brings on $1 billion Verus Capital Partners
The Scottsdale, Arizona, practice, which includes 30 advisers, joins from Securities America
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
Securities America team managing $800 million moves to LPL
Equitrust Financial Group has five advisers and is based in Deerfield, Illinois
