Tag: brokerage
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...
