Tag: BD
Waypoint Taps Two Industry Veterans for Its Affiliated Broker-Dealer
Waypoint Real Estate Investments, a real estate investment firm focused on the U.S. rental housing sector, has added two industry veterans to its affiliated...
Commonwealth Recruits $1 Billion Hybrid from Securian Financial
Commonwealth Financial Network, the nation’s largest private registered investment adviser and independent broker-dealer, has added Legacy Planning Partners to its platform. Formerly affiliated with...
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...
Ladenburg Invests in Impact Investing Start-Up Targeting Millennial Investors
Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded financial services company, has invested in Newday Financial Technologies Inc., a San Francisco-based startup focused...
Massachusetts Securities Division Fines LPL $1.1 Million over Unregistered Agents and...
The Massachusetts Securities Division has fined LPL Financial $1.1 million for failing to properly register agents in Massachusetts and timely file certain reportable events....
Waypoint Residential Taps Industry Veteran as CEO of Affiliated Broker-Dealer
Waypoint Residential LLC, a real estate investment firm focused on the U.S. rental housing sector, has hired Albert Haworth as chief executive officer of...
Ladenburg Names Veteran Executive to Senior Vice President of Enterprise Services
Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded financial services company, has appointed veteran industry operations and technology executive David Ballard to the...
Texas Fines LPL Financial $450,000 for Selling Unregistered Securities
LPL Financial LLC, the nation’s largest independent broker-dealer, was fined $450,000 by the State of Texas and ordered to repurchase certain securities it sold...
Ladenburg’s Securities Service Network Recruits New York Practice With $180 Million...
Securities Service Network LLC, an independent advisory and brokerage firm and wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has recruited...
Ladenburg Thalmann Launches Advanced Planning Group
Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded diversified financial services company, has launched its enterprise-level advanced planning group, comprised of a team...
Ladenburg Subsidiary Investacorp Adds Father-Son Team to Platform
Investacorp Inc., an independent advisory and brokerage firm that oversees more than $16 billion in total client assets, has added Wealth Innovations to its...
Ladenburg’s Highland Capital Launches Hybrid Long-Term Care Insurance Desk
Highland Capital Brokerage, an independent life insurance brokerage company and subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has launched its new hybrid...
Ladenburg Launches Program to Attract Female College Students to Financial Advisor...
Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded financial services company, has launched LIFT University, a program that encourages female college students to...
ADISA Names Award Winners at 2018 Annual Conference in Las Vegas
ADISA, a trade association representing the non-traded alternative and direct investment space, announced the 2018 winners of the organization’s A Champion of Excellence (ACE),...
Ladenburg Chairman Steps Down Amid SEC Allegations
Phillip Frost, chairman of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has stepped down from his role at the company following charges filed by...
Ladenburg Thalmann Subsidiary Acquires Insurance Distribution Business with 3,000 Advisors
Ladenburg Thalmann Annuity Insurance Services LLC (LTAIS), a subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK and...
The DI Wire Q&A: ADISA CEO Previews 2018 Annual Conference
ADISA recently submitted a comment letter on the SEC’s proposed Regulation Best Interest Rule – what are the organization’s primary concerns with the proposed...
Ladenburg Launches New Succession Planning Platform
Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded financial services company, has launched a new succession, continuity and acquisitions platform for its independent...
Ladenburg Promotes 24-Year Employee to SVP for Organizational and Practice Development
Ladenburg Thalmann Financial Services Inc. (NYSE: LTS, LTSL, LTS PrA, LTSF), a publicly-traded financial services company, has promoted Kirk Hulett, head of Ladenburg practice...
Ladenburg Launches New Retirement Planning Platform
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF), a publicly-traded, diversified financial services company, has launched a new platform that...
