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LPL Financial Recruits $1 Billion Team from Securian

LPL Financial LLC, the nation’s largest independent broker-dealer, has added San Mateo, California-based SGC Financial and Insurance Services to its broker-dealer and corporate registered...

ADISA Now Accepting Board Nominations

The nomination committee for the Alternative & Direct Investment Securities Association (ADISA) is seeking nominations for five open board of director seats. An ADISA member...

Former Wells Fargo Team Launches $500 Million Hybrid Practice with LPL

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Anthony “Tony” Frigoletto has launched his new independent practice, River’s Edge Wealth...

LPL Recruits Father/Son Duo from Cadaret Grant

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Jess Murphy and Nathan Murphy to its broker-dealer and the corporate registered investment advisor...

SEC Charges Former LPL Adviser with Stealing $330,000 from Retired Client

The Securities and Exchange Commission has filed an emergency action charging investment adviser Matthew O. Clason with stealing $330,000 from a retired 73-year-old client...

Private Equity-Backed Wealth Enhancement Group Buys $446 Million Hybrid RIA

Wealth Enhancement Group, an independent wealth management firm backed by TA Associates that oversees $19.4 billion in client assets, has purchased CJM Wealth Management,...

Advisor Group’s Royal Alliance Recruits $120 Million Former Ameriprise Team

Royal Alliance Associates, an independent wealth management firm within the Advisor Group network, has recruited Financial Foundation Services, a New Jersey-based wealth management firm...

Lasalle St. Recruits $625 Million Retirement Services Group

LaSalle St., a family of wealth management firms, has recruited Retirement Services Group, a Northbrook, Illinois-based practice specializing in profit sharing and 401(k) plans...

SEC Charges Adviser with Fraud for Stealing More Than $2.2 Million...

The Securities and Exchange Commission has charged California-based investment adviser Mark J. Boucher and his company Strategic Wealth Advisor Group Services Inc. with misappropriating...

LPL Financial Recruits $375 Million Firm from Wells Fargo

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Allen Lorenzi, Ira Shapiro and Michael Walker who have teamed up to...