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Good Life Companies Appoints Chief Operating Officer

Good Life Companies (Good Life), an independent hybrid registered investment advisor, has appointed Rachel Bashore as chief operating officer to oversee all aspects of...

LPL Financial Adds $675 Million Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added WWK Investments to its broker-dealer, corporate registered investment advisor and custodial platforms. The family...

SEC Obtains Judgment Against Former LPL Broker that Ran $5 Million...

The Securities and Exchange Commission has obtained a final judgement against James T. Booth, a former LPL Financial broker who operated a Ponzi scheme...

Team with $350 Million in Client Assets Returns to LPL Financial

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that New Jersey-based Foran Financial Group has returned to the firm. The team serves approximately...

Stratos-Backed Brown Wealth Management Increases Client Assets to $1.2 Billion with...

Brown Wealth Management, a San Diego-based independent wealth management firm, has purchased Truuwater Financial. The transaction combines two San Diego-based wealth managers, expanding Brown...

Cetera to Buy Assets of Voya’s Independent Financial Planning Channel

Cetera Financial Group, a network of independently managed broker-dealers, has agreed to purchase the independent financial planning channel of Voya Financial Advisors, Voya’s registered...

LPL Financial Adds Former Hilltop Financial Advisor

LPL Financial LLC, the nation’s largest independent broker-dealer, has added former Hilltop Securities financial advisor Darrell Todd, who serves approximately $110 million in brokerage,...

LPL Financial Adds Former Stifel, Nicolaus Financial Advisor

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Tiger Blackwell to its newly launched independent employee model. Blackwell serves approximately...

Former UBS Duo Launch Indie Practice with LPL Financial

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that former UBS financial advisors Brendan Biruk and Dan Rattigan joined the firm and launched...

CI Financial to Buy $23 Billion RIA/Asset Manager in Largest U.S....

CI Financial Corp. (TSX: CIX; NYSE: CIXX), a dual-listed investment and wealth management company based in Canada, has agreed to purchase Segall Bryant &...