Home Tags Broker-dealer

Tag: broker-dealer

Advisor Group’s Securities America Recruits Advisors from LPL and Mutual of...

Securities America, a wealth management firm within Advisor Group’s network, has recruited three financial professionals with a total of $120 million in client assets....

FINRA Alerts Firms to Fraudulent Phishing Email Campaign

The Financial Industry Regulatory Authority has warned member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from “FINRA Membership”...

Former Wells Fargo Advisor Launches Independent Practice with LPL Financial

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Richard Pakes to its broker-dealer and corporate registered investment advisor platforms. Pakes...

AIX Partners with Kalos Financial’s Independent Broker-Dealer

Alternative Investment Exchange (AIX), a financial technology services provider focused on non-traded alternative investments, has partnered with Kalos Financial’s independent broker-dealer to streamline its...

FINRA Fines Securities America for Violating Customer Privacy

The Financial Industry Regulatory Authority has fined Securities America $125,000 for purportedly helping 12 recruited brokers take nonpublic personal customer information from their former...

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...

Advisor Group Launches National Advisory Board

Advisor Group, a network of independent wealth management firms, has launched its new National Advisory Board (NAB), consisting of 12 advisors from across its...

Aurora Securities Names President and Chief Compliance Officer

Aurora Securities Inc., an independent broker-dealer, has hired Lori Kamen to serve as its president and chief compliance officer. She will also serve as...

Cetera’s Farpointe Wealth Partners Recruits $190 Million Team

Farpointe Wealth Partners LLC, an independent financial advice firm within the Cetera network, has added Schexnayder Wealth Advisors, a $190 million asset team led...

SEC Bars Longtime Broker Sentenced to 170 Months in Prison

The Securities and Exchange Commission has barred 60-year-old former broker, Steven Pagartanis, who was sentenced to 170 months in prison last year for defrauding...