Tag: brokerage
Securities America Recruits Former Questar Super-OSJ
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has added the Lanzetta Group, a Super-OSJ group with approximately...
BB&T to Return More Than $5 Million to Retail Investors to...
The Securities and Exchange Commission announced that BB&T Securities has agreed to return more than $5 million to retail investors and pay a $500,000...
Cetera Adds Teacher-Founded Credit Union to Platform
Cetera, a network of independent broker-dealer firms, has added Rogue Credit Union's Investment Services to the Cetera Financial Institutions platform.
Rogue is a not-for-profit, cooperative...
Cetera Advisor Networks Adds $2.5 Billion OSJ
Cetera Financial Group, a network of independent broker-dealer firms, announced that North Ridge Wealth Planning, a full-service wealth management firm based in Melville, New...
Robert Moore Steps Down as CEO of Cetera, Cites Health Reasons
Cetera, a network of independent broker-dealer firms, announced that Robert Moore is stepping down as its chief executive officer, effective March 31, due to...
Ladenburg’s Highland Capital Recruits Advisory Group with $150 Million In Client...
Highland Capital Brokerage, an independent life insurance brokerage company and subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has added Oak & Stone...
Howard Capital Names Former Bluerock Exec as Managing Director of National...
Howard Capital Management Inc. (HCM), an SEC-registered investment advisory firm with more than $1.5 billion in assets under management, has appointed Carla Martin as...
LPL Financial Nabs Former Cetera Trio with $185 Million in Client...
LPL Financial LLC, the nation’s largest independent broker-dealer, has added John Marshall & Associates Investment Center to its broker-dealer and corporate registered investment advisor...
Husband-Wife Team Join Cetera from Ameriprise
Cetera, a network of independent broker-dealer firms, announced that husband-and-wife financial advisory team, Joseph and Pamela Malara, have joined the Cetera Investment Services platform....
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,...
