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Advisor Group to Buy $40 Billion Independent Broker-Dealer

Advisor Group, one of the nation's largest networks of independent wealth management firms, has agreed to purchase American Portfolios Financial Services Inc., a full-service,...

LPL Financial Recruits Ex-Wells Fargo Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Encore Capital Management to its broker-dealer and corporate registered investment advisor model. The team...

LPL Financial Launches New Program to Serve Affluent Market

LPL Financial LLC, the nation's largest independent broker-dealer, has launched the LPL Private Client Services Network, a new program to provide LPL-affiliated advisors access...

SEC Charges Three Advisers for Recommending Multi-Million-Dollar Ponzi to Clients

The Securities and Exchange Commission filed a civil action in a Georgia district court against Michael Mooney, Britt Wright, and Penny Flippen in connection...

Schwab Subsidiaries to Pay $187 Million for Misleading Robo-Adviser Clients

The Securities and Exchange Commission has charged three Charles Schwab investment adviser subsidiaries for making "false and misleading statements" about the cash component of...

Grove Point Hires Former Cetera Exec as Senior Vice President of...

Grove Point Financial LLC, an independent broker-dealer and registered investment adviser platform, has hired 26-year industry veteran, Denise McGee, as senior vice president of...

Advisor Group’s SagePoint Adds $800 Million Team

SagePoint Financial, a wealth management firm within the Advisor Group network, has added IronBridge Wealth Counsel and its eight wealth advisors who oversee $800...

Advisor Group to Buy $30 Billion Broker-Dealer

Advisor Group, one of the nation's largest networks of independent wealth management firms, has agreed to purchase Infinex Financial Holdings Inc., the holding company...

LPL Reports First Quarter 2022 Results, Broker Count Exceeds 20,000

LPL Financial Holdings Inc. (Nasdaq: LPLA), the parent of LPL Financial LLC – the nation’s largest independent broker-dealer, released its first quarter 2022 financial...

LPL Financial Recruits $120 Million Father-Daughter Team

LPL Financial LLC, the nation's largest independent broker-dealer, has added Northern Lakes Financial Group to its broker-dealer, hybrid registered investment advisor, and custodial platforms....
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