Tag: independent broker-dealer
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,...
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...
Commonwealth Adds Former Cadaret Grant Team to Platform
Commonwealth Financial Network, the nation’s largest private registered investment adviser and independent broker-dealer, has added Michael Roberts Associates Inc. to its network of independent...
Commonwealth Recruits $325 Million Team from LPL
Commonwealth Financial Network, the nation’s largest privately held registered investment adviser and independent broker-dealer, has added Daley Financial Partners of Oak Brook, Illinois, to...
LPL Recruits Former Wells Fargo Advisors Financial Advisor
LPL Financial LLC, the nation’s largest independent broker-dealer, has recruited former Wells Fargo Advisors financial advisor Steven Jolly, who serves approximately $190 million of...
LPL Financial Adds Former Cetera Team to IBD and RIA Platform
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Infinity Financial Partners to its broker-dealer and corporate registered investment advisor platforms. Infinity, which...
Former LPL Broker Sentenced to 20 Years for Stealing $1.8 Million...
Sonya Camarco, a former broker at LPL Financial, was sentenced to 20 years in prison pleading guilty to diverting more than $1.8 million in...
LPL Recruits $800 Million Team from Signator
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Seattle First Asset Management LLC to its broker-dealer and corporate registered investment advisor platforms....
Bourne Financial Group Establishes Sales Team
Bourne Financial Group LLC, a sponsor of alternative investment offerings, has hired an internal distribution team for its seniors housing product platform. Bourne Financial...
Commonwealth Nabs $700 Million Team from Securian
Commonwealth Financial Network, the nation’s largest privately held registered investment adviser and independent broker-dealer, has added Integrated Equity Management of Bloomington, Minnesota to its...
Woodbury Adds Two Colorado Advisory Firms with $378 Million in Combined...
Woodbury Financial Services, an independent broker-dealer in the Advisor Group network, has added Life Wealth Principles and National Financial Advisors, which have a combined...
