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Securities America Recruits Former Questar Super-OSJ

Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has added the Lanzetta Group, a Super-OSJ group with approximately...

LPL Adds Former Wells Fargo Advisor to Existing Firm Gladstone

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Breandan Kelly has joined the company from Wells Fargo Advisors, and will...

LPL Financial Adds Three Former Ameriprise Financial Advisors to Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Michael Bonevento, James Costabile and Craig Laday to its broker-dealer and corporate...

SEC Halts Alleged Alternative Investment Scheme Targeting Retail Investors

The Securities and Exchange Commission announced fraud charges and an asset freeze against the operators of a South Florida-based investment fund, one of whom...

Hilltop Securities Names Former Piper Jaffray Exec as President and CEO

Hilltop Securities Inc., a financial services firm and registered investment adviser headquartered in Dallas, has appointed Bradley Winges to serve as president and chief...

Ladenburg’s Highland Capital Recruits Advisory Group with $150 Million In Client...

Highland Capital Brokerage, an independent life insurance brokerage company and subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has added Oak & Stone...

Former Steadfast Execs Launch 3G Capital Advisors

Christopher Hilbert and R. Kyle Winning, two commercial real estate investment and financial services industry veterans, have launched boutique advisory firm, 3G Capital Advisors...

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...

NASAA: State Regulators Ready to Help During Partial SEC Shutdown

The North American Securities Administrators Association has reported that state securities regulators are unaffected by the partial shutdown of the federal government and available...

LPL Financial Adds $360 Million Team from Wells Fargo Advisors

LPL Financial, the nation’s largest independent broker-dealer, has added Harbor Financial Group to its broker-dealer and corporate registered investment advisor platforms. The firm joined...