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SEC: Cetera Investment Advisers to Pay $185,000 for Solicitation Disclosure Violations

Cetera Investment Advisers LLC, a registered investment adviser affiliated with Cetera Financial Group Inc., will pay a penalty of $185,000 to settle SEC charges...

Ameriprise Recruits Longtime Merrill Lynch Team

Ameriprise Financial Inc., a financial services firm with approximately 10,000 financial advisors, announced that CAM Wealth Management, a team of financial advisors with approximately...

IFP Hires Former Cambridge Exec as New Chief Compliance Officer

Independent Financial Partners, an independent broker-dealer and multi-custodial registered investment advisor that split from LPL Financial earlier this year, has hired Melissa Loner as...

Massachusetts Solicits Preliminary Comments on Proposed Fiduciary Rule

The Massachusetts Securities Division plans to enter the state fiduciary rulemaking ring and is seeking preliminary comment on a proposed regulation that would apply...

FSI Comments on New Jersey’s Proposed Fiduciary Rule

The Financial Services Institute, a trade group representing independent financial advisors and financial services firms, has submitted a 12-page comment letter to the New...

IFP Officially Launches Independent Broker-Dealer After Terminating LPL Contract

Independent Financial Partners has officially terminated their contract with LPL Financial and started the process of transitioning to its new independent broker-dealer entity. IFP left...

New Jersey Proposes Fiduciary Rule

The New Jersey Bureau of Securities has proposed a new fiduciary regulation that requires all registered financial services professionals in the state to be...

FINRA Approves IFP’s Broker-Dealer Application

Independent Financial Partners, currently a hybrid registered investment adviser and office of supervisory jurisdiction (OSJ) with LPL Financial, has been approved by FINRA to...

IFP Nabs Financial Backing from Two Partners Ahead of Broker-Dealer Launch

Independent Financial Partners (IFP), a registered investment adviser and office of supervisory jurisdiction for LPL Financial, has finalized financial commitments from two partners, Pacific...

SEC Sues Orange County Investment Adviser for Defrauding Clients

The Securities and Exchange Commission has charged a Laguna Niguel, California investment adviser with allegedly misappropriating client funds and misleading his clients about how...