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Robert Moore Steps Down as CEO of Cetera, Cites Health Reasons

Cetera, a network of independent broker-dealer firms, announced that Robert Moore is stepping down as its chief executive officer, effective March 31, due to...

LPL Financial Recruits Community First Investment Group

LPL Financial LLC, the nation’s largest independent broker-dealer, has recruited Community First Investment Group, the investment program offered at Community First Bank of Indiana....

LPL Financial Adds Former Wells Fargo Firm to Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Team Preheim Advisory to its broker-dealer and corporate registered investment advisor platforms. Founded by Karl...

LPL Financial Adds Former Summit Brokerage Firm to Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Patriot Wealth Management to its broker-dealer and corporate registered investment advisor platforms. Patriot joins...

Private Equity Firm Taps Goldman to Sell Kestra Financial

Private equity firm Stone Point Capital is planning to sell independent broker-dealer Kestra Financial Inc., less than three years after it purchased the firm...

Husband-Wife Team Join Cetera from Ameriprise

Cetera, a network of independent broker-dealer firms, announced that husband-and-wife financial advisory team, Joseph and Pamela Malara, have joined the Cetera Investment Services platform....

ADISA Announces 2019 Board of Directors

Members of ADISA, a trade association representing the alternative and direct investment industry, have selected new directors for the 2019 board. The election occurs...

LPL Financial Adds Former Cetera Team to Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Founders Investment Services, offered at Founders Federal Credit Union, to its broker-dealer and corporate...

Ladenburg Subsidiary Investacorp Adds Father-Son Team to Platform

Investacorp Inc., an independent advisory and brokerage firm that oversees more than $16 billion in total client assets, has added Wealth Innovations to its...

LPL Recruits Former Wells Fargo Advisors Financial Advisor

LPL Financial LLC, the nation’s largest independent broker-dealer, has recruited former Wells Fargo Advisors financial advisor Steven Jolly, who serves approximately $190 million of...