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LPL Financial Recruits Wisconsin Bank Program from Raymond James

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Third Oak Investment Services, the investment program offered at Baraboo State Bank, to its...

Commonwealth Adds Former Cadaret Grant Team to Platform

Commonwealth Financial Network, the nation’s largest private registered investment adviser and independent broker-dealer, has added Michael Roberts Associates Inc. to its network of independent...

Atria Wealth Solutions to Acquire NEXT Financial

Atria Wealth Solutions Inc., a wealth management holding company with subsidiaries that serve independent financial advisors and financial institutions, has agreed to acquire NEXT...

Triad Recruits Former LPL Retirement Group with $10 Billion in Assets...

Triad Advisors, LLC, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), and Resources Investment Advisors LLC, a wealth management and...

Former HD Vest CEO Takes the Reins at HighTower

HighTower, an independent fee-based advisory firm, has named industry veteran Bob Oros as its new chief executive officer. Oros, who has more than 20 years...

Mercer Advisors Acquires California-Based RIA Dragon Financial Group

Mercer Advisors Inc., a registered investment adviser, has acquired Dragon Financial Group, an RIA firm located in San Mateo, California with more than $110...

Former Wells Fargo Rep Receives 128-Count Indictment for Investment Fraud

John Gregory Schmidt, a former Wells Fargo Advisors Financial Network registered representative, has been indicted on 128 counts for conducting a million-dollar Ponzi scheme...

SEC Bars Former LPL Broker and Bank Manager Convicted of Embezzlement

The Securities and Exchange Commission has barred Stephen Thomas Carbonella, a former LPL Financial broker and bank manager who was sentenced last month to...

Massachusetts Regulator Fines Former Stifel Nicolaus Adviser for Overcharging Clients

The Massachusetts Securities Division has charged a Cape Cod investment adviser with operating a scheme which overcharged his clients and diverted commissions and fees...

Commonwealth Recruits $325 Million Team from LPL

Commonwealth Financial Network, the nation’s largest privately held registered investment adviser and independent broker-dealer, has added Daley Financial Partners of Oak Brook, Illinois, to...