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Cetera provides bitcoin ETF clarity with policy for advisors
The broker-dealer moves to the forefront with education, training, and resources in ‘prudent embrace’ of innovative products.
New Hampshire bars former Next Financial broker
The broker and Next Financial Group Inc. are on the hook for more than $1 million in penalties.
Stifel unveils deal betting on CD business
Wealth giant agrees to acquire platforms to future-proof its certificates of deposit offerings.
LPL grows network with 7 ex-Osaic advisors
Minnesota advisors join the firm after overseeing around $700M in assets at Osaic.
Osaic adds $165M Cetera team to New Century
The Kansas-based advisory practice, which has been in operation since 1960, pushes one of Osaic’s enterprise OSJs past the $1B AUM mark.
Independent Financial Group deepens tech ties with Envestnet
The broker-dealer is ramping up support for its advisor affiliates with new lending, planning, and investment integrations.
Finra fines spike 63% in 2023: Report
'Last year saw bigger Finra fines per case,' a lawyer says. 'Supersized fines, or those of $1 million or more, were up, and mega-sized fines, or those of $5 million and more, increased too.'
Baird bolsters Wisconsin presence with team from UBS
The latest team to join the broker-dealer managed $680 million in client assets at their former firm.
NFL union taps Ameriprise to work with players
'Something like this puts Ameriprise on the map in the competition among the regional firms and the independent broker-dealers,' one recruiter says.
Raymond James nabs Wells Fargo advisor
The financial industry veteran from South Carolina joins the brokerage giant after previously managing around $250M in client assets.
LPL bags another Lincoln advisor
The IBD expands its Southern footprint with an Alabama-based veteran with $345 million in assets.
Arax firm Ashton Thomas adds $500M team, opens New York office
Team of three was previously with Raymond James division Alex. Brown.
Expect a stronger, more lawsuit-proof fiduciary rule very soon
With the final version of the rule now at the Office of Management and Budget, it won't be long before it's published. Don't expect a lot of changes, lawyers say.
Osaic bolsters network with $210M Ameriprise team
With hundreds of families and business clients in its book, the New York-based firm is joining one of the wealth giant’s largest OSJs.
Former Wells Fargo indie broker is barred by Finra
The broker, Jayson Pocius, was 'discharged' last year from Wells Fargo Advisors Financial Network.
RayJay snaps up ex-Citi muni execs to bolster growth efforts
The brokerage giant is strengthening its public finance division’s presence in key markets including Seattle and Los Angeles.
How much do wirehouse advisors hate selling for the bank?
Financial advisors simply can't stand conflicts that mix banking and financial advice.
NewEdge Securities fined over bond pricing shortfalls
The brokerage firm violated Finra rules by failing to ensure fair pricing in corporate and muni bond transactions.
Sanctuary lands $1B team from Stifel
The Indianapolis advisory practice, which includes a five-decade industry veteran, is Sanctuary's third big firm in the area.
$180M advisor rejoins Equitable from Cetera
The California-based advisor's practice focuses on Mandarin-speaking clients.
