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Securities America Recruits $150 Million Team

Securities America, a wealth management firm within Advisor Group’s network, has recruited Heritage Harbor Financial Associates, an independent financial advisory business headquartered in Port...

LPL Nabs M&T Bank’s $20 Billion Retail Brokerage and Advisory Business

M&T Bank Corporation (NYSE: MTB) has chosen LPL Financial, the nation’s largest independent broker-dealer, to support its retail brokerage and advisory business. M&T, which...

SFA Partners Adds Four Wealth Management Firms to Platform

SFA Partners, a group of independent advisor-focused entities, has recruited four wealth management firms: Kolinsky Wealth Management, Lehner Carroll Shope Capital Management, OakPoint Investment...

LPL Financial Adds $180 Million Financial Advisor

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Keith Boyd to its broker-dealer and hybrid registered investment advisor platforms, leveraging...

SEC Charges Former Morgan Stanley Advisor with Fraud

The Securities and Exchange Commission has charged former registered representative and investment adviser Michael Barry Carter with fraud for allegedly stealing from brokerage customers...

LPL Financial Recruits Former First Allied Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Kris Staples and Trevor Johnson of Staples Financial to its broker-dealer and corporate registered...

LPL Financial Recruits Father/Son Duo from Voya Financial

LPL Financial LLC, the nation’s largest independent broker-dealer, has added father and son financial advisors Matt Meyers Sr. and Matthew Meyers Jr. of Crossroads...

Mercer Advisors Continues Buying Spree with $910 Million RIA Acquisition

Mercer Global Advisors Inc., a registered investment adviser with $20 billion in client assets, has acquired M.J. Smith and Associates Inc., a wealth management...

Securities America CEO Nominated for Second Term on FINRA Board

Securities America, a wealth management firm within Advisor Group’s network, reported that president and chief executive officer Jim Nagengast has been nominated to the...

Securities America Recruits Credit Union Team from LPL

Securities America, a wealth management firm within Advisor Group’s network, has added Oregon Community Credit Union (OCCU) to its financial institutions platform. The team...