Tag: advisor
Former UBS Advisor Jumps to LaSalle St.
LaSalle St., a family of wealth management firms encompassing independent broker-dealer and two registered investment adviser platforms, announced former UBS Financial Services vice president...
FINRA’s Number of Disciplinary Actions Declines for Third Year in a...
An annual report by global law firm Eversheds Sutherland has completed its study of the disciplinary actions reported by the Financial Industry Regulatory Authority...
LPL Expands Investor and Investment Solutions Leadership Team with Two New...
LPL Financial LLC, the nation’s largest independent broker-dealer, announced the addition of two executives to the firm’s “investor and investment solutions leadership team.“
Cory Triolo...
LPL Financial Expands Board of Directors with Addition of Albert Ko
LPL Financial Holdings Inc., the nation’s largest independent broker-dealer, announced that Albert Ko has been elected to the company’s board of directors as an...
$600 Million Kansas RIA Joins LPL
LPL Financial LLC announced that Strategic Partners Inc. has joined LPL Financial’s broker-dealer, registered investment advisor and custodial platforms, aligned with National Financial Alliance.
Strategic...
Bipartisan US Senate Bill Calls for Greater Federal Reserve and SEC...
Sens. Elizabeth Warren (D-Mass.) and Pat Toomey (R-Pa.), ranking member of the Senate Banking Committee, announced the bipartisan Financial Regulators Transparency Act, legislation that...
Los Angeles RIA Affiliated with LPL Acquires $860 Million RIA
Perennial Financial Services, a registered investment advisor affiliated with LPL Financial, acquired Ford Financial Group, a fellow LPL-affiliate based in Fresno, Calif. that oversees...
Atria Taps Former LPL Managing Director to Lead Independent Channel
Atria Wealth Solutions Inc., a wealth management solutions holding company, has named former LPL Financial senior executive William P. Morrissey Jr., as head of...
Perigon Wealth Management Acquires $330 Million RIA and Adds Financial Advisor
Perigon Wealth Management, an independent wealth management firm with more than $4 billion in client assets under management, acquired Nauset Wealth Management LLC of...
Former Morgan Stanley Rep Joins Linsco by LPL
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Tim Truebenbach CFP, has joined LPL’s employee advisor channel, Linsco by LPL...
Artiea Capital Management Joins LPL from Wells Fargo Financial Advisors Network
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that the team at Artiea Capital Management has joined LPL Financial’s broker-dealer, RIA and custodial...
Chip Marcus Wealth Management Launches through LPL Financial
LPL Financial LLC, the nation’s largest independent broker-dealer, announced today that financial advisor Chip Marcus has joined LPL’s employee advisor channel, Linsco by LPL...
Astra Wealth Advisors Joins LPL from Wells Fargo Financial Advisors Network
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Chris Albright of Astra Wealth Advisors has joined the firm’s broker-dealer, RIA...
Former Raymond James Advisors Launch Independent Practice through LPL
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisors Beau Jones, Chris Story, Taylor Roberts and Joseph Montgomery have launched an...
Former Merrill Lynch Advisor Launches Independent Practice through LPL
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Alexander Guiliano launched a New Jersey-based independent practice, Resonate Wealth Partners, through...
Bodnar Financial Advisors Joins LPL from Cambridge
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Bodnar Financial Advisors has joined the firm’s broker-dealer, registered investment advisor and custodial platforms.
Bodnar...
Senate Bill Would Boost Alts in Defined Contribution Plans
Republican members of the U.S. Senate Banking Committee have introduced the Retirement Savings Modernization Act to “bolster American’s retirement savings” by allowing defined contribution...
EP Wealth Advisors Expands to East Coast with Acquisition of $1.1...
EP Wealth Advisors LLC, an independent registered investment adviser, has acquired Massachusetts-based Minot Wealth Management LLC, a fee-only RIA with approximately $1.1 billion in...
LPL Financial Adds Former Altruist Executive to Management Team
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Pete Dorsey has joined the firm as executive vice president of institution services. Dorsey...
Vero Wealth Management Joins Linsco by LPL Financial
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisors Benjamin Link and Steve Sexton have joined LPL’s employee advisor model, Linsco...
