Home Tags Advisory

Tag: advisory

Securities America Recruits Former Questar Super-OSJ

Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has added the Lanzetta Group, a Super-OSJ group with approximately...

Lightyear-Backed Wealth Enhancement Group to Buy $500 Million Advisory Practice

Wealth Enhancement Group, an independent wealth management firm that oversees $9.6 billion in client assets, has signed a definitive agreement to purchase Summit Planning...

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...

Howard Capital Names Former Bluerock Exec as Managing Director of National...

Howard Capital Management Inc. (HCM), an SEC-registered investment advisory firm with more than $1.5 billion in assets under management, has appointed Carla Martin as...

SEC Sues Orange County Investment Adviser for Defrauding Clients

The Securities and Exchange Commission has charged a Laguna Niguel, California investment adviser with allegedly misappropriating client funds and misleading his clients about how...

LPL Financial Nabs Former Cetera Trio with $185 Million in Client...

LPL Financial LLC, the nation’s largest independent broker-dealer, has added John Marshall & Associates Investment Center to its broker-dealer and corporate registered investment advisor...

LPL Recruits Former Wells Fargo Advisors Financial Advisor

LPL Financial LLC, the nation’s largest independent broker-dealer, has recruited former Wells Fargo Advisors financial advisor Steven Jolly, who serves approximately $190 million of...

Edelman Financial Engines Appoints DOL Fiduciary Rule Architect Phyllis Borzi to...

Edelman Financial Engines, a registered investment advisor with $200 billion in client assets, has appointed Phyllis Borzi to its board of directors. Borzi, who...

LPL Financial Adds Former Cetera Team to IBD and RIA Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Infinity Financial Partners to its broker-dealer and corporate registered investment advisor platforms. Infinity, which...

Mercer Advisors Acquires Beacon Wealth Management

Mercer Advisors Inc., a registered investment advisor backed by private equity firm Genstar Capital, has acquired Beacon Wealth Management, a boutique wealth management firm...