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Schwab Advisor Services Launches Alternative Investment Platform

Schwab Advisor Services has launched the Schwab Alternative Investment Marketplace platform, which gives the company’s independent advisor clients access to third-party platform sponsors that...

Triad Advisors Recruits Former LPL Hybrid

Triad Advisors LLC, an independent advisory and brokerage firm and subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has recruited Mooney Lyons Financial...

Ameriprise Recruits Longtime Merrill Lynch Team

Ameriprise Financial Inc., a financial services firm with approximately 10,000 financial advisors, announced that CAM Wealth Management, a team of financial advisors with approximately...

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...