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Atria’s Sorrento Pacific Adds $1 Billion Team

Sorrento Pacific Financial LLC, an independent wealth management firm and subsidiary of Atria Wealth Solutions, has added Pennsylvania-based Schorn Wealth Management, a team of...

Blucora To Rebrand Wealth Management Division

Blucora, Inc. (NASDAQ: BCOR), a firm focused on wealth management and tax preparation, will rebrand its wealth management business to Avantax Wealth Management. With the...

Cetera Hires Former FINRA Director as General Counsel

Cetera Financial Group, the second-largest independent financial advisor network in the nation by number of advisors, has hired former FINRA director David A. Greene...

IPA/Chalice Financial Partnership Offers Discounted Services to Members

The Institute for Portfolio Alternatives (IPA), an advocacy and education group for non-traded alternative investment products, has partnered with Chalice Financial Network to provide...

Former Wells Fargo/Morgan Stanley Broker Pleads Guilty to Defrauding Clients in...

Elias Herbert Hafen, a former financial adviser at Wells Fargo and Morgan Stanley, pled guilty in a New York federal court yesterday to investment...

LPL Recruits Former Wells Fargo Financial Advisor with $125 Million AUM

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Brian Gernant of Gernant Asset Management to its broker-dealer and corporate registered...

SEC Charges Adviser Firm and Principals with Defrauding Retired NFL Players

The Securities and Exchange Commission has charged a Tallahassee-based investment adviser firm and its two former principals with defrauding investors, most of whom were...

LPL Financial Recruits $700 Million Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Brian Kasteler, Joseph Taylor, Nathan Woodward, Jorge Becerra, Michael Donaldson and Patrick...

LPL Financial Recruits Former Ameriprise Hybrid

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Barry Rucks and Matt Silverhardt of Barry A. Rucks & Associates to...

Ladenburg Launches 401(K) Platform for Advisors’ Business Clients

Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded financial services company, has launched a fully-bundled 401(k) program that allows its advisors to provide...