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Private Equity-Backed Wealth Enhancement Group Buys $1.3 Billion RIA

Wealth Enhancement Group, an independent wealth management firm that oversees $17 billion in client assets, has purchased JOYN Advisors Inc., a registered investment adviser...

LPL Recruits Credit Union Wealth Management Practice from Cetera

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Tarik Eldin and Mike Hastings with SCU Investment Services at Sacramento Credit Union to...

LPL Financial Recruits $650 Million Team from Cetera

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Synergy Wealth Alliance, an office of supervisory jurisdiction led by chief executive officer and...

LPL Financial Recruits Pair from Advisor Group with Combined $330 Million

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Craig Lewelling and Greg Krpalek to its broker-dealer and corporate registered investment...

H. Beck Names Chief Operations Officer

H. Beck Inc., an independent financial advisor platform and subsidiary of Kestra Financial Inc., has hired industry veteran Rob Costello as its new chief...

LPL Recruits Financial Advisors from Sagepoint and Ameriprise

LPL Financial LLC, the nation’s largest independent broker-dealer, has added eight financial advisors to its broker-dealer and corporate registered investment advisor platforms aligned with...

LPL Financial Recruits Former MassMutual Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added the newly named Twenty Four Wealth Management to its broker-dealer and hybrid registered investment...

LPL Financial Promotes National Sales Exec to Managing Director

LPL Financial LLC, the nation’s largest independent broker-dealer, has promoted Matt Enyedi from executive vice president to managing director of national sales. Enyedi began his...

Concorde Expands Team with Two Senior Executive Hires

Concorde Investment Services, a broker-dealer and subsidiary of Concorde Holdings, has named Lori Kamen as chief compliance officer and Melissa Shrimpton as operations manager. Kamen...

SEC Bars Former LPL Broker for Defrauding Federal Employees

The Securities and Exchange Commission has barred former LPL Financial broker, Christopher Laws, for recommending his federally employed clients roll over holdings from their...