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Former Cetera Team Returns to LPL Financial

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Nautica Wealth Advisors has returned to its broker-dealer and corporate RIA platforms. The advisors...

FINRA Warns of Fake Phishing Emails

The Financial Industry Regulatory Authority has warned its member firms of an ongoing phishing campaign that involves fraudulent emails that include the domain “@invest-finra.org.” The...

LPL Recruits $1 Billion Team from Securities America

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Verus Capital Partners, a large enterprise firm with approximately 30 financial advisors, to its...

Former RBC Trio Launch New Practice with LPL Financial

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisors George Chardukian, Adam Goldstein, and Maria Peralta have launched their independent practice,...

Alternative Investment Exchange Hires Director of Sales

Alternative Investment Exchange (AIX), a financial technology services provider focused on non-traded alternative investments, has hired Michelle Browning as director of sales. In her...

LaSalle St. Recruits $225 Million Hybrid from LPL Financial

LaSalle St., a family of wealth management firms, has recruited JFR Financial Services, a Michigan-based firm that oversees $225 million in client assets. JFR...

Advisor Group’s Sagepoint Recruits $503 Million Team from LPL Financial

SagePoint Financial, a wealth management firm within the Advisor Group network, has recruited Veater Financial Group, a wealth management practice based in Fresno, California,...

SEC Charges RIAs and Broker-Dealers over Improper ETP Sales

The Securities and Exchange Commission has filed settled actions against three investment advisory firms and two dually-registered broker-dealer and advisory firms for violations related...

LPL Financial Adds Two Financial Advisors with $350 Million in Client...

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Jerry Giordano and Joseph Praino to its broker-dealer and corporate RIA platforms,...

LPL Financial Recruits $200 Million Family Team from Wells Fargo

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Louis Pelliccioni, Brice L. Pelliccioni, and Amanda Pelliccioni to its broker-dealer and corporate RIA...