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LPL Financial Lures Retirement & Investment Group From Raymond James

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Retirement & Investment Group has joined LPL's broker-dealer and corporate registered investment advisor (RIA)...

LPL Fined $450K by Indiana Secretary of State

Indiana Secretary of State Connie Lawson has agreed to a settlement of $450,000 with LPL Financial LLC, the nation’s largest independent broker-dealer. The settlement...

LPL Financial Acquires AdvisoryWorld

LPL Financial LLC, the nation’s largest independent broker-dealer, has acquired AdvisoryWorld, a technology company that provides a suite of digital solutions designed to help...

Prospera Financial Adds $150 Million Team from UBS

Prospera Financial Services Inc., a full-service independent broker-dealer, has added LiveOak Wealth Advisors to its platform. Based in Lafayette, Louisiana, the LiveOak team spent nine...

LPL Financial Adds Former Cetera Team to Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Founders Investment Services, offered at Founders Federal Credit Union, to its broker-dealer and corporate...

Baird and Hilliard Lyons to Merge

Wealth management giant Baird has agreed to acquire rival brokerage firm Hilliard Lyons and its affiliate Hilliard Lyons Trust Company, both based in Louisville,...

FINRA Bars Former Quest Capital Broker for Selling Woodbridge Promissory Notes

The Financial Industry Regulatory Authority has barred former Quest Capital broker Frank Dietrich for selling his clients more than $10.8 million in promissory notes...

LPL Recruits Former Cadaret Grant Team

LPL Financial LLC, a nation’s largest independent broker-dealer, has added Mayco Financial Services to its broker-dealer and corporate registered investment advisor platforms. Mayco, which...

Former Royal Alliance Adviser Pleads Guilty to Criminal Fraud Charges

Kimberly Kitts, a former Royal Alliance financial adviser, pleaded guilty to criminal charges filed by the U.S. Attorney for the District of Massachusetts. Kitts...

Ladenburg Subsidiary Investacorp Adds Father-Son Team to Platform

Investacorp Inc., an independent advisory and brokerage firm that oversees more than $16 billion in total client assets, has added Wealth Innovations to its...