Tag: financial advisor
LPL Financial Lures Retirement & Investment Group From Raymond James
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Retirement & Investment Group has joined LPL's broker-dealer and corporate registered investment advisor (RIA)...
LPL Fined $450K by Indiana Secretary of State
Indiana Secretary of State Connie Lawson has agreed to a settlement of $450,000 with LPL Financial LLC, the nation’s largest independent broker-dealer. The settlement...
LPL Financial Acquires AdvisoryWorld
LPL Financial LLC, the nation’s largest independent broker-dealer, has acquired AdvisoryWorld, a technology company that provides a suite of digital solutions designed to help...
Baird and Hilliard Lyons to Merge
Wealth management giant Baird has agreed to acquire rival brokerage firm Hilliard Lyons and its affiliate Hilliard Lyons Trust Company, both based in Louisville,...
Former Royal Alliance Adviser Pleads Guilty to Criminal Fraud Charges
Kimberly Kitts, a former Royal Alliance financial adviser, pleaded guilty to criminal charges filed by the U.S. Attorney for the District of Massachusetts. Kitts...
NB Private Capital Hires Three New Executives
NB Private Capital LLC, a Southern California-based sponsor of private placement offerings, has expanded its sales team with the hiring of three new executives.
David...
Ladenburg’s Highland Capital Acquires Certain Assets of Four Seasons Financial Group
Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded diversified financial services company based in Miami, Florida, announced that its subsidiary Highland Capital Brokerage...
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....
Dawn Bennett Convicted of Fraud in $20 Million Ponzi Scheme
A Maryland federal jury convicted former financial adviser and radio talk show host Dawn Bennett for defrauding investors out of millions in a $20...
