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$1.2 Billion Former UBS Team Goes Indie with LPL-Affiliate Gladstone

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Puzzle Wealth Solutions to its broker-dealer, hybrid registered investment advisor, and custodial platforms. The 10-person...

LPL Financial Recruits Former Northwestern Mutual Advisors

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors John Patterson, Steve Owings, Joe Patterson and McKee Nunnally to its broker-dealer,...

Advisor Group’s SagePoint Financial Recruits Five Wealth Management Practices

Advisor Group, a network of independent wealth management firms, reported that SagePoint Financial has recruited five firms that collectively oversee $331 million in client...

LPL Affiliated Stratos Wealth Partners Adds $120 Million Advisor

Stratos Wealth Partners, one of LPL Financial’s largest affiliates with $16.5 billion in total assets, has recruited Scott Gegerson and his firm Truvium Wealth...

FINRA Alerts Firms to New Phishing Campaign Using Fraudulent Email

The Financial Industry Regulatory Authority has issued Regulatory Notice 21-20 warning firms of an ongoing phishing campaign that involves fraudulent emails that appear to...

Centaurus to Pay $1.3 Million to Settle SEC Charges

The Securities and Exchange Commission has ordered Centaurus Financial Inc., a dually registered investment adviser and broker-dealer, to pay nearly $1.3 million to settle...

LPL Financial Recruits Former Blucora Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Ashley Dusek and the team at Benchmark Financial Services to its broker-dealer,...

LPL Financial Recruits Former First Allied Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Craig Zaleck and Mark Hogan of Bergen Point Wealth Management to its...

LPL Financial Recruits Former UBS Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Gena Barbato, Beth Woodward and Daniel Kundla to its broker-dealer, corporate registered...

Advisor Group’s Royal Alliance Recruits $168 Million Wealth Management Team

Royal Alliance Associates, a broker-dealer within the Advisor Group network of independent wealth management firms, has recruited Azose Johnson & Associates, a Washington-based firm...