Tag: financial adviser
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 new fiduciary rule proposal in December 2019 after the previous version was vacated by the Fifth...
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...
LPL Recruits $500 Million Team Formerly with Cadaret Grant
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Beltz Ianni & Associates LLC to its broker-dealer and corporate registered investment advisor platforms....
DOL to Introduce Fiduciary Rule in September 2019
The Department of Labor plans to introduce a revised final fiduciary rule in September 2019 after the previous version was vacated by the Fifth...
