Tag: brokerage
ADISA Names 2020 Board of Directors
The Alternative & Direct Investment Securities Association (ADISA), a trade association representing the alternative and direct investment space, announced the 2020 directors for its...
Securities America Nabs $560 Million Hybrid
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has added Goldstein & Associates, an independent wealth management firm...
Wentworth Buys $2.7 Billion Hybrid
Wentworth Management Services LLC, an independent broker-dealer holding company, has acquired Aurora Private Wealth, a Rockaway, New Jersey-based hybrid registered investment advisor/IBD firm that...
IFS Securities Shuts Down
IFS Securities, a broker-dealer based in Atlanta, has shut down after requesting that FINRA and the 25 states where it was licensed terminate its...
Securities America Launches Super OSJ With Former SA Stone Wealth Management...
Securities America, a subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has partnered with wealth management industry veteran David Pintaric to launch his...
LPL Financial Recruits $550 Million Team
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Gatewood Wealth Solutions to its broker-dealer and corporate registered investment advisor platforms. The team...
LPL Financial Recruits Former Ameriprise Team
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Canal View Financial Advisors to its broker-dealer and corporate registered investment advisor platforms. The...
SEC Obtains Final Judgments Against Broker and Two Principals Found Liable...
Judge Kimba M. Wood of the United States District Court for the Southern District of New York entered final judgments ordering more than $1.6...
LPL Adds Former FSC Securities Team
LPL Financial LLC, the nation’s largest independent broker-dealer, has recruited financial advisors Cris Arnold, David McIllwain, Charlotte Martin and Brenda Speer, who collectively oversee...
Advisor Group and Ladenburg Thalmann to Merge in $1.3 Billion Deal
Advisor Group, one of the nation's largest networks of independent wealth management firms, and Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly traded...
