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Stifel to Buy Missouri-Based Broker-Dealer

Stifel Financial Corp. (NYSE: SF) has agreed to buy certain assets of George K. Baum & Company, a broker-dealer that focuses on municipal securities....

IFP Hires Former Cambridge Exec as New Chief Compliance Officer

Independent Financial Partners, an independent broker-dealer and multi-custodial registered investment advisor that split from LPL Financial earlier this year, has hired Melissa Loner as...

SEC Approves Investment Advice Rule Package

On Wednesday, the Securities and Exchange Commission voted 3-1 along party lines and approved its four-part package of regulations aimed at reforming investment advice...

DOL to Propose New Fiduciary Rule in December, SEC to Vote...

The Department of Labor plans to introduce a propose a new fiduciary rule in December 2019 after the previous version was vacated by the...

Secretary Acosta Says DOL Will Release New Fiduciary Rule in Conjunction...

Labor Secretary Alexander Acosta told the House Education and Labor Committee on Wednesday that the Department of Labor is planning to revive its fiduciary...

ProEquities Names Vice President of Business Development

ProEquities, an independent financial advisory and brokerage firm and subsidiary of Protective Life Corporation, has hired Tammy Robbins as vice president of business development. Prior...

Raymond James Financial to Buy Boutique Investment Bank

Raymond James Financial Inc. (NYSE: RJF) has entered into a definitive agreement to purchase Silver Lane Advisors LLC, a boutique investment bank that focuses...

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...

LPL Recruits Former Cadaret Grant Team

LPL Financial LLC, a nation’s largest independent broker-dealer, has added Mayco Financial Services to its broker-dealer and corporate registered investment advisor platforms. Mayco, which...

LPL Adds Former Cetera Hybrid to Platform

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