Tag: brokerage
SEC and FINRA to Host Online Forum on Regulation Best Interest...
The Securities and Exchange Commission has released the agenda and panelists for the October 26, 2020 roundtable where SEC staff and FINRA will discuss...
SEC and FINRA to Hold Roundtable on Regulation Best Interest and...
The Securities and Exchange Commission will hold a roundtable with the Financial Industry Regulatory Authority (FINRA) to discuss initial observations on the implementation of...
Ameriprise Recruits $500 Million Team from LPL Financial
Ameriprise Financial Inc. (NYSE: AMP) announced that Voyage Financial Group, a wealth management practice with nearly $500 million in client assets, has joined the...
Good Life Recruits $200 Million Team
Good Life Companies, an independent hybrid registered investment advisor, has recruited YTS Wealth Management, a Pennsylvania-based team with approximately $200 million in total client...
Securities America Recruits Another Credit Union Program from LPL Financial
Securities America, a wealth management firm within Advisor Group’s network, has added USE Credit Union’s investment services program to its financial institutions platform.
USECU has...
ADISA Now Accepting Board Nominations
The nomination committee for the Alternative & Direct Investment Securities Association (ADISA) is seeking nominations for five open board of director seats.
An ADISA member...
LPL Recruits Father/Son Duo from Cadaret Grant
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Jess Murphy and Nathan Murphy to its broker-dealer and the corporate registered investment advisor...
Private Equity-Backed Wealth Enhancement Group Buys $446 Million Hybrid RIA
Wealth Enhancement Group, an independent wealth management firm backed by TA Associates that oversees $19.4 billion in client assets, has purchased CJM Wealth Management,...
Lasalle St. Recruits $625 Million Retirement Services Group
LaSalle St., a family of wealth management firms, has recruited Retirement Services Group, a Northbrook, Illinois-based practice specializing in profit sharing and 401(k) plans...
LPL Financial Recruits $375 Million Firm from Wells Fargo
LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Allen Lorenzi, Ira Shapiro and Michael Walker who have teamed up to...
