Tag: Commonwealth
Cetera Financial Attracts Record $6.3 Billion in Assets via Third Quarter...
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, attracted a record $6.3 billion through third quarter recruiting efforts from both wirehouses...
Cetera Recruits $140 Million Team from Commonwealth
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, has recruited Cramer Capital Management, a Kansas City-based team formerly affiliated...
SEC Bars Former Commonwealth Broker Who Pled Guilty to Stealing $3.7...
The Securities and Exchange Commission has barred former long-time Commonwealth Financial broker, Gerald Allan Eaton, after he pled guilty to stealing more than $3.7...
Commonwealth Hires Fidelity Exec to Expand RIA Business
Commonwealth Financial Network, a private registered investment adviser and independent broker-dealer, has hired Matthew Chisholm to serve in the newly created role of senior...
Commonwealth Recruits $1 Billion Hybrid from Securian Financial
Commonwealth Financial Network, the nation’s largest private registered investment adviser and independent broker-dealer, has added Legacy Planning Partners to its platform. Formerly affiliated with...
SEC Charges Commonwealth with Failing to Disclose Conflicts on Revenue Sharing
The Securities and Exchange Commission has charged Commonwealth Financial Network, a registered investment adviser and broker-dealer that manages approximately $85 billion in client assets,...
LPL Financial Adds Another Group from Kestra Financial
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Encino, California-based PFP Financial and Insurance Services Corp. to its broker-dealer and corporate registered...
LPL Financial Recruits Former Kestra Group with $500 Million in Client...
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Charton Financial Group to its broker-dealer and corporate registered investment advisor platforms.
Edward Charton, principal...
FINRA Bars Former Commonwealth Broker for Refusing to Provide Documents to...
The Financial Industry Regulatory Authority has barred Benjamin Frank Bourgeois, a former Commonwealth Financial broker, for refusing to produce documents and information requested by...
Massachusetts Charges Former Commonwealth Adviser with Allegedly Stealing from Retiree
The Massachusetts Securities Division has charged a former investment adviser who allegedly withdrew nearly $100,000 from a client’s accounts over a 13-year period.
Bruce Colin...
Commonwealth Adds Former Cadaret Grant Team to Platform
Commonwealth Financial Network, the nation’s largest private registered investment adviser and independent broker-dealer, has added Michael Roberts Associates Inc. to its network of independent...
Commonwealth Recruits $325 Million Team from LPL
Commonwealth Financial Network, the nation’s largest privately held registered investment adviser and independent broker-dealer, has added Daley Financial Partners of Oak Brook, Illinois, to...
Commonwealth Nabs $700 Million Team from Securian
Commonwealth Financial Network, the nation’s largest privately held registered investment adviser and independent broker-dealer, has added Integrated Equity Management of Bloomington, Minnesota to its...
Commonwealth Financial Names New President and COO
Commonwealth Financial Network, the nation’s largest privately held registered investment adviser and independent broker-dealer, announced that president and chief operating officer Rich Hunter will...
Commonwealth Nabs Teams from LPL and Ameriprise
Commonwealth Financial Network, the nation’s largest privately held registered investment adviser and independent broker-dealer, has recruited two teams, one from LPL Financial and one...
Commonwealth Nabs $263 Million Team from INVEST Financial
Commonwealth Financial Network, the nation’s largest private registered investment adviser and independent broker-dealer, has added Riverstone Wealth Partners LLC of St. Charles and Naperville,...
Commonwealth Nabs $350 Million Father and Son Team
Commonwealth Financial Network, a private registered investment adviser and independent broker-dealer, has added Spiegelman Wealth Management of Lafayette, California, to its network of independent...
Ladenburg Thalmann Names John Blood as SVP of Advisory Services and...
Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded financial services company, appointed John Blood as senior vice president of advisory services and solutions.
In...
