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Wells Fargo Names New President of Brokerage Unit

Wells Fargo Advisors, the brokerage unit of Wells Fargo & Company (NYSE: WFC), has named Jim Hays as its new president. Hays, based in St....

Wells Fargo Names New Head of Asset Management Unit

Wells Fargo & Co. (NYSE: WFC), a financial services company with $1.9 trillion in assets, has appointed Nico Marais as chief executive officer and...

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...

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 Financial Recruits Community First Investment Group

LPL Financial LLC, the nation’s largest independent broker-dealer, has recruited Community First Investment Group, the investment program offered at Community First Bank of Indiana....

LPL Financial Adds Former Wells Fargo Firm to Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Team Preheim Advisory to its broker-dealer and corporate registered investment advisor platforms. Founded by Karl...

LPL Financial Adds Former Summit Brokerage Firm to Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Patriot Wealth Management to its broker-dealer and corporate registered investment advisor platforms. Patriot joins...

Former Morgan Stanley Team Launches Independent RIA in New York

A team that oversaw $650 million in client assets at Morgan Stanley, has launched Opal Wealth Advisors, an independent registered investment advisor based in...

LPL Financial Adds Former Kestra Team to its RIA and IBD...

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Regal Wealth Advisors to its broker-dealer and corporate registered investment advisor platforms. Regal joins...

LPL Financial Recruits Wisconsin Bank Program from Raymond James

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Third Oak Investment Services, the investment program offered at Baraboo State Bank, to its...