Stone Point Renews Partnership With Kestra Holdings, Buys Majority Stake

October 15, 2024

LPL Recent Adviser Additions Bring Nearly $500 Million in Assets

October 15, 2024

Sponsored: NuView Trust, an Inspira Financial Solution, Appoints Influential Leader to National Sales, Alts Role

October 14, 2024

Adviser Team With $685 Million Joins LPL From Merrill Lynch

October 11, 2024

Cetera Announces Agreement With Protective Life to Acquire Subsidiary Overseeing $12B AUA, $4B AUM

October 9, 2024

Prospera Financial Services Lures $650 Million Team Based in Memphis

October 7, 2024

Ex-Raymond James RIA With $2.1 Billion in Assets Joins LPL Financial

October 4, 2024

Cerulli: Top 25 Firms Control 93% of the Broker-Dealer Market

October 3, 2024

LPL Financial Fires CEO Dan Arnold ‘for Cause’ Following Investigation

October 2, 2024

LPL Completes Acquisition of $100 Billion-Asset Atria Wealth Solutions

October 2, 2024

TD Securities Ordered to Pay $28 Million in Spoofing Settlements

October 2, 2024

Commonwealth Adds $600 Million Ex-Lincoln Pair to Its Aegis Affiliate

September 27, 2024

LPL Financial Recruits Firms Serving Greater Than $1 Billion in Assets From Wedbush and Osaic

September 26, 2024

SEC Levies Over $88 Million in Combined Fines to 11 Firms for Recordkeeping Failures

September 25, 2024

Atom Investors RIA Escapes Penalty in SEC Off-Channel Recordkeeping Case

September 25, 2024

FINRA Fines Wedbush More Than $550K in Separate Incidents

September 23, 2024

Metric Financial Appoints Seasoned Exec Andy Marshall as Head of Capital Markets

September 20, 2024

SEC Takes First Enforcement Action Against Multiple Entities in Relationship Investment Scams

September 19, 2024

Madison Capital Markets Names Former Hines Vet to Helm Southeastern Sales

September 17, 2024

LPL Adds Ex-Ameriprise Team Serving $650 Million in Assets

September 16, 2024