Tag: IBD
Guest Contributor: 2020 Examination Priorities, FINRA to Scrutinize Private Placement Marketing...
By: Brad Updike, Director at Mick Law P.C.
The Financial Industry Regulatory Authority (FINRA) released its list of examination priorities on January 9, 2020. In...
IFS Securities Shuts Down
IFS Securities, a broker-dealer based in Atlanta, has shut down after requesting that FINRA and the 25 states where it was licensed terminate its...
Waypoint Taps Two Industry Veterans for Its Affiliated Broker-Dealer
Waypoint Real Estate Investments, a real estate investment firm focused on the U.S. rental housing sector, has added two industry veterans to its affiliated...
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...
