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SagePoint Adds Three Advisor Groups with $2 Billion in Client Assets

SagePoint Financial, a financial services firm with more than 1,900 advisors nationwide, announced that High Point Capital Group, Legacy Financial Advisors Inc., and Buckley...

Aegis Capital Fined $1.3 Million for Failing to File Suspicious Activity...

Aegis Capital Corporation, a New York-based brokerage firm with 400 reps, was fined a combined $1.3 million by both the SEC and FINRA for...

Triad Affiliate Recruits $100 Million Advisor from Lincoln Financial

Triad Advisors LLC, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has recruited Atlanta area advisor Chris Kohne to Sugarloaf...

The DI Wire Q&A with ADISA President Keith Lampi

The DI Wire had a chance to speak with ADISA president Keith Lampi ahead of ADISA’s 2018 Spring Conference held next week in Orlando,...

Cetera Financial Institutions Recruits Marquette Bank Program from NPH Affiliate

Cetera Financial Institutions, a member of the Cetera Financial Group network of independent broker-dealer firms, has recruited the wealth management program of Marquette Bank,...

Ladenburg Subsidiary Appoints Chris Yarosh to Head New Multigenerational Platform

Investacorp Inc., an independent advisory and brokerage firm and wholly-owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has launched its multigenerational consulting...

Goldman Sachs Provides Online Lending to LPL Financial Clients

Goldman Sachs has expanded its lending capabilities to allow LPL Financial clients to borrow money for life events like paying for home renovations, education...

SEC Commissioner Michael Piwowar to Speak at IPASummit 2018

The Investment Program Association has announced its full agenda for the upcoming IPASummit 2018 in Washington, D.C. on April 17-19th, including the addition of...

Three LPL Affiliates Merge to Create $2.6 Billion Super OSJ “Dream...

Merit Financial Group, an independent registered investment advisory firm, its merging with two independent financial advisory businesses, Botsford Financial Group and Financial Development Systems....

Colony NorthStar Reaffirms Commitment to Retail Distribution

A spokesperson for Colony NorthStar (NYSE:CLNS) clarified statements made by president and chief executive officer Richard Saltzman on the company’s recent earnings call relating...