Tag: IBD
Texas Fines LPL Financial $450,000 for Selling Unregistered Securities
LPL Financial LLC, the nation’s largest independent broker-dealer, was fined $450,000 by the State of Texas and ordered to repurchase certain securities it sold...
LPL Adds Former Voya Team to Platform
LPL Financial LLC, the nation’s largest independent broker-dealer, has added O&R Partners, made up of financial advisors Dave Olivieri and Wes Rowlands, to its...
Cetera to Acquire Assets of Foresters’ Brokerage and Advisory Business
Cetera, a network of independent broker-dealer firms, has entered into a definitive agreement to purchase select assets of Foresters Financial's U.S. broker dealer and advisory...
Former Foresters Financial Hybrid Team Joins LPL Financial
LPL Financial LLC, the nation’s largest independent broker-dealer, has added advisors Carrie Mullins, Sara Tanner, Susan Perry, Sierra Swidrak, Davis Siliga and Kalin Rooney...
LPL Financial Adds $120 Million Team to BD and RIA Platforms
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Seacoast Financial Network to its broker-dealer and corporate registered investment advisor platforms. Seacoast joins...
SEC Bars Former Questar Rep Serving Time for 15-Year Ponzi Scheme
The Securities and Exchange Commission has barred a former Questar Capital registered representative currently serving 11 years in prison for his role in perpetrating...
Securities America Recruits Former Ameriprise Group with $459 Million in Client...
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS), has recruited Syntegra Private Wealth Group, a group of...
Woodbury Adds 400 Questar Financial Advisors With $12.2 Billion In Assets
Woodbury Financial Services, an independent wealth management firm within the Advisor Group network, has recruited 400 financial advisors with $12.2 billion in assets under...
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...
Cetera Adds Teacher-Founded Credit Union to Platform
Cetera, a network of independent broker-dealer firms, has added Rogue Credit Union's Investment Services to the Cetera Financial Institutions platform.
Rogue is a not-for-profit, cooperative...
