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SEC Bars Four Unregistered Brokers that Sold Woodbridge Securities

The Securities and Exchange Commission has barred Claude Mosley, Andrew Costa, Randy Rondberg, and Marcus Bray, four unregistered brokers that sold securities of Woodbridge...

Dakota Wealth Management Reaches $1 Billion AUM with Latest Acquisition

Dakota Wealth Management, an independent investment management firm managing $1 billion in client assets, has agreed to acquire Springside Partners, a female-led wealth management...

LPL Financial Recruits Fee-Only Advisor with $1.1 Billion in Client Assets

LPL Financial LLC, a retail investment advisory firm and independent broker-dealer, has recruited financial advisor Peter Heilbron to its corporate registered investment advisor platform...

FINRA Fines Woodbury $225,000 Over Variable Annuity Supervision Issues

The Financial Industry Regulatory Authority has fined Woodbury Financial Services, an independent broker-dealer in the Advisor Group network, for not having a system in...

Four Former UBS Advisors with $530 Million Go Indie with Backing...

Former UBS wealth advisors Steven Tenney, Joseph Powers, Helen Andreoli, and Jack Piper have partnered with Dynasty Financial Partners to launch an independent wealth...

Benjamin F. Edwards Launches Registered Investment Advisor

Benjamin F. Edwards, an independent broker-dealer with $25 billion in assets under management, has launched their new corporate registered investment advisor, Edwards Wealth Management....

HighTower Expands Executive Team with Three New Hires

HighTower, one of the nation's largest registered investment advisory firms, has expanded its corporate team with three new hires: Abby Salameh as chief marketing...

LPL Financial Recruits Credit Union from CUSO

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Bay Federal Credit Union’s investment program to its broker-dealer and corporate registered investment advisor...

FINRA Bars Former Cambridge Broker for Misusing Client Funds

The Financial Industry Regulatory Authority has barred Anselmo Contreras Jr, a former Cambridge Investment Research broker accused of converting client funds that were intended...

FINRA Seeks Comment on New Broker Misconduct Rule

The Financial Industry Regulatory Authority is requesting comment on a new proposed rule that would target and impose financial obligations on brokerage firms with...