Tag: financial advisor
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...
Atria’s Cadaret Grant Adds Former UBS Team with $600 Million in...
Cadaret Grant, an independent wealth management firm and subsidiary of Atria Wealth Solutions Inc., has recruited a team of former UBS financial professionals led...
Cetera Recruits $300 Million Team from Mass Mutual
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, has recruited Skafco, a financial planning team that manages approximately $300...
Avantax Recruits $200 Million Veteran Advisor from LPL
Avantax, a tax-focused financial planning firm, has recruited Sullivan Financial Services Inc., a Las Vegas-based firm led by veteran financial advisor Tom Sullivan, who...
Cetera Advisor Networks Appoints New President
Cetera Financial Group, a network of independent retail firms, has appointed Tim Stinson as president of Cetera Advisor Networks.Stinson replaces Tom Taylor, who will...
Financial Services Institute Names 2022 Board and Executive Committee Members
The Financial Services Institute, a trade group representing independent financial advisors and independent financial services firms, has named four new directors to its board...
Kingswood Recruits Seven Independent Financial Advisors and Practices
Kingswood U.S., a network of wealth management firms, has recruited seven financial advisors who collectively oversee $295 million in total client assets. The new...
Advisor Group’s Securities America Recruits Two Financial Advisors
Advisor Group, a network of independent wealth management firms, has recruited Thomas P. Leinwol and D. John Ruffa of Upward Wealth Group who oversee...
Cetera Recruits More Than $2.4 Billion in New Assets In 3Q21
Cetera Financial Group, a network of independent wealth management firms, has reportedly recruited more than $2.4 billion in new assets in the third quarter...
Advisor Group’s Securities America Recruits Two California-Based Financial Advisors
Advisor Group, a network of independent wealth management firms, has recruited James Putnam and Babak “Bobby” Payvandi, a pair of financial advisors based in...
SEC Obtains Final Judgment Against Sentenced Merrill Lynch Advisor
The Securities and Exchange Commission has obtained a final judgment against former Merrill Lynch financial adviser, Marcus Boggs, who was previously charged with stealing...
CI Financial to Buy $5.2 Billion Silicon Valley Wealth Manager
CI Financial Corp. (TSX: CIX; NYSE: CIXX), a dual-listed investment and wealth management company based in Canada, announced plans to purchase Portola Partners Group...
Cetera Adds $100 Million Investment, Tax, Estate and Medicare Practice
Cetera Financial Specialists LLC, an independent broker-dealer within the Cetera network of firms, has added HD Financial Specialists, a full-service wealth management practice based...
Former Merrill Lynch Adviser Sentenced to Prison for Defrauding Clients
Former Merrill Lynch financial adviser, Marcus Boggs, has been sentenced to three and a half years in federal prison for swindling more than $3...
CI Financial to Buy $3.4 Billion Ohio-Based Registered Investment Advisor
CI Financial Corp. (TSX: CIX; NYSE: CIXX), a dual-listed investment and wealth management company based in Canada, plans to purchase Budros, Ruhlin & Roe,...
Securities America Recruits Advisors with $376 Million, Advisor Group Provides AUM...
Securities America, a wealth management firm within the Advisor Group network, has recruited independent financial advisors Robert “Bob” Batick and Norman “Todd” Coates who...
CI Financial Enters Pennsylvania with $2.6 Billion RIA Acquisition
CI Financial Corp. (TSX: CIX; NYSE: CIXX), a dual-listed investment and wealth management company based in Canada, has agreed to purchase Radnor Financial Advisors,...
FSI Challenges DOL Independent Contractor Rule Withdrawal
The Financial Services Institute, a trade group representing independent financial advisors and independent financial services firms, has joined in filing an amended complaint against...
CI Financial to Acquire $5.1 Billion RIA, Its Second Largest to...
CI Financial Corp. (TSX: CIX; NYSE: CIXX), a dual-listed investment and wealth management company based in Canada, has agreed to purchase Dowling & Yahnke...
Cetera Recruits $2.4 Billion Texas-Based Team
Cetera Advisors LLC, a wealth management firm within the Cetera network, has recruited Totus Wealth Management, a Texas-based team with $2.4 billion in client...
