Broker-Dealers

Displaying 5515 results

Topic

Robert Moore returns to advice business to lead giant LPL branch

The shift in management is not a sign that New Jersey-based Private Advisor Group is for sale, owner says

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UBS Wealth picks ex-NFL player to lead athlete segment

Adewale Ogunleye is a former Pro Bowl defensive end with the Chicago Bears

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Trio managing $417 million heads to Raymond James

The team moved from Geneos Wealth Management

Topic

Merrill adds more choices to its model portfolio offering

Additions include sustainable, hybrid and high-net-worth options from several managers

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Ex-Wells Fargo CEO Stumpf to pay $2.5 million in SEC settlement

The agency accused Stump and former Wells executive Carrie Tolsted with misleading shareholders about the success of Wells' community bank

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Team managing $1.8 billion at UBS goes to Venture Visionary Partners

The addition of 12 professionals and AUM almost doubles the size of the Toledo, Ohio, RIA

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New York duo managing $350 million at HSBC go indie with LPL

Jerry Giordano and Joseph Praino will work with existing LPL indie firm, KM Capital Group

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Schwab prunes 200 TD Ameritrade branches

The move will leave a nationwide network of more than 400 combined office locations

Topic

Texas teams managing $151 million link with Advisory Services Network

Springer Financial Services, a hybrid, and RB Welborn work in tandem

Topic

Broker-dealer sues Finra in latest salvo against regulators

Utah-based Alpine Securities claims Finra violated "due process" in hearings