Tag: IBD
Commonwealth Recruits $1 Billion Hybrid from Securian Financial
Commonwealth Financial Network, the nation’s largest private registered investment adviser and independent broker-dealer, has added Legacy Planning Partners to its platform. Formerly affiliated with...
SkyView Launches Digital Platform for Wealth Management M&A and Financing
SkyView Partners, a correspondent lender focused on helping independent advisors, broker-dealers, and RIAs to pursue mergers, acquisitions and succession plans, has launched their Advisory...
Another KBS REIT Replaces External Advisor with Pacific Oak
KBS Strategic Opportunity REIT, a publicly registered non-traded real estate investment trust, will terminate its advisory agreement with KBS Capital Advisors LLC, effective October...
KBS Strategic Opportunity REIT II Replaces External Advisor
KBS Strategic Opportunity REIT II, a publicly registered non-traded real estate investment trust, has terminated its advisory agreement with KBS Capital Advisors LLC, effective...
Woodbury Financial and GCG Recruit Five Longtime Wells Fargo Advisors
GCG Wealth Management, a Woodbury Financial Services-affiliated firm, has recruited five advisors with a combined $330 million in client assets to its new Greensboro,...
LPL Recruits Former Ameriprise Team
LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Mark Sudol, Gary Sudol, and Jeffery Lavin of The Sudol Group to...
Cetera Hires Former FINRA Director as General Counsel
Cetera Financial Group, the second-largest independent financial advisor network in the nation by number of advisors, has hired former FINRA director David A. Greene...
LPL Recruits Former Wells Fargo Financial Advisor with $125 Million AUM
LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Brian Gernant of Gernant Asset Management to its broker-dealer and corporate registered...
Massachusetts Fines Wells Fargo $450,000 over Unregistered Agents and Supervisors
The Massachusetts Securities Division has fined Wells Fargo $450,000 for failing to ensure that its agents and supervisors were appropriately registered in Massachusetts.
Wells Fargo...
LPL Financial Recruits Former Ameriprise Hybrid
LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Barry Rucks and Matt Silverhardt of Barry A. Rucks & Associates to...
