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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...

Advisor Group’s Royal Alliance Recruits $975 Million Super OSJ

Royal Alliance Associates, an independent wealth management firm within the Advisor Group network, has recruited Pacific Capital Resource Group, a Super-OSJ group supervising 40...

FINRA Adopts Rule to Limit Brokers from Being Named Customers’ Beneficiary

The Financial Industry Regulatory Authority has adopted a new rule to limit potential conflicts of interest when brokers are named a customer’s beneficiary, executor...

LPL Buys FinTech Firm for $12 Million

LPL Financial Holdings Inc. (Nasdaq: LPLA), the parent company of the nation’s largest independent broker-dealer, LPL Financial LLC, has acquired Blaze Portfolio, a Chicago-based...

Gladstone Lists Series B Preferred Stock on NASDAQ

Gladstone Land Corporation (Nasdaq:LAND) announced that it listed its 6.00% Series B Preferred Stock on Nasdaq under the ticker "LANDO.” Gladstone originally issued the Series...

LPL Recruits Father-Son Advisors from Advisor Group’s KMS Financial

LPL Financial LLC, the nation’s largest independent broker-dealer, has added father/son financial advisors Tom and Bill Smothers to its broker-dealer and corporate RIA platforms,...

LPL Financial Recruits $1 Billion Hybrid from Cetera

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Tagge Rutherford Financial Group to its broker-dealer and corporate RIA platforms, which leverage LPL...

SEC and FINRA to Host Online Forum on Regulation Best Interest...

The Securities and Exchange Commission has released the agenda and panelists for the October 26, 2020 roundtable where SEC staff and FINRA will discuss...