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Summit to Drop Broker-Dealer Status and Join Another Cetera Firm

Summit Brokerage, an independent broker-dealer within the Cetera Financial Group network, is dropping its broker-dealer status and will join another Cetera firm, Cetera Advisor...

FINRA Bars Former Cetera Advisors Rep

Financial Industry Regulatory Authority has barred former Cetera Advisors representative George C. Merhoff Jr. for failing to provide documents and information to the regulators...

Blucora Hires Former Cetera Exec as President of Wealth Management

Blucora Inc., a firm focusing on wealth management and tax preparation, has named Enrique Vasquez as president of wealth management, where he will be...

Cetera to Acquire Assets of Foresters’ Brokerage and Advisory Business

Cetera, a network of independent broker-dealer firms, has entered into a definitive agreement to purchase select assets of Foresters Financial's U.S. broker dealer and advisory...

Cetera Adds Teacher-Founded Credit Union to Platform

Cetera, a network of independent broker-dealer firms, has added Rogue Credit Union's Investment Services to the Cetera Financial Institutions platform.   Rogue is a not-for-profit, cooperative...

Cetera Advisor Networks Adds $2.5 Billion OSJ

Cetera Financial Group, a network of independent broker-dealer firms, announced that North Ridge Wealth Planning, a full-service wealth management firm based in Melville, New...

Private Equity Firm to Purchase Majority Stake in Kestra Financial

Global private equity firm Warburg Pincus LLC has agreed to purchase a majority interest in independent broker-dealer Kestra Financial Inc. from its current owner...

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...