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LPL Financial Recruits $400 Million Team from Securities America

LPL Financial LLC, the nation’s independent broker-dealer, has added Nicklas Financial to its broker-dealer, corporate registered investment advisor and custodial platforms. Nicklas Financial advisors serves...

LaSalle St. Recruits $600 Million Hybrid from Cambridge

LaSalle St., a group of independent wealth management firms, has added Stiles Financial Services Inc. to its broker-dealer platform. The Edina, Minnesota-based firm oversees...

LPL Financial to Buy $2 Billion Hybrid with 35 Advisors

LPL Financial LLC, the nation’s largest independent broker-dealer, has agreed to purchase the assets of E.K. Riley Investments LLC, a broker-dealer and registered investment...

LPL Financial Recruits Father/Son Duo from Morgan Stanley

LPL Financial LLC, the nation’s largest independent broker-dealer, has added father and son advisors Bruce and Duncan Kelm of the newly minted ArrowPoint Wealth...

Atria Wealth Solutions Buys Broker-Dealer with $11 Billion AUA

Atria Wealth Solutions Inc., a wealth management holding company, has closed the acquisition of Western International Securities Inc, an independent broker-dealer based in Pasadena,...

Advisor Group Hires Former United Capital Exec as Chief Financial Officer

Advisor Group, a network of independent wealth management firms, has hired Jon Frojen as chief financial officer. In his new role, he will oversee the...

LPL Recruits $305 Million Team from Wells Fargo Advisors

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Brian Lynn, John Fessler and Jim Pacheco to its broker-dealer, corporate registered...

Woodbury Recruits Two Brokers in Succession Plan Merger Transaction

Woodbury Financial Services, a broker-dealer within the Advisor Group network, has recruited two independent financial advisors with combined client assets of $170 million. The financial...

FINRA Fines Merrill Lynch for Allowing Unregistered Executive to Act as...

The Financial Industry Regulatory Authority has censured and fined Merrill Lynch $150,000 for purportedly allowing an executive with its non-FINRA member affiliate to function...

Wedbush Hires Compliance Veteran as SVP and Chief Compliance Officer

Wedbush Securities, an independent broker-dealer, has hired financial services veteran Michael McMaster as its senior vice president and chief compliance officer. In his new role,...