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Cetera Adds $100 Million Investment, Tax, Estate and Medicare Practice

Cetera Financial Specialists LLC, an independent broker-dealer within the Cetera network of firms, has added HD Financial Specialists, a full-service wealth management practice based...

SEC Sanctions Eight Broker-Dealers/RIAs for Deficient Cybersecurity Protection

The Securities and Exchange Commission has sanctioned eight firms for having deficient cybersecurity policies and procedures that resulted in email account takeovers that exposed...

Blucora’s Avantax to Buy $1.1 Billion New Jersey-Based RIA

Avantax, a tax-focused financial planning firm, has agreed to acquire Headquarters Advisory Group LLC, a New Jersey-based registered investment advisor with approximately $1.1 billion...

Former Lincoln/LPL Rep Admits to Stealing More Than $600,000 from Elderly...

Mathew Clason, a former investment advisor and registered representative previously affiliated with Lincoln Financial and LPL Financial during his career, pled guilty earlier this...

Cetera Recruits $2.4 Billion Texas-Based Team

Cetera Advisors LLC, a wealth management firm within the Cetera network, has recruited Totus Wealth Management, a Texas-based team with $2.4 billion in client...

Cetera Recruits $340 Million Team from LPL Financial

Cetera Financial Group, a network of independent retail firms, has recruited The Advisors LLC, a full-service wealth management practice based in Pennsylvania with $150...

Atria’s Acquisition of SCF Securities Increases AUA to $95 Billion

Atria Wealth Solutions Inc., a wealth management holding company, has purchased SCF Securities Inc., an independent broker-dealer and registered investment advisor based in Fresno,...

Captrust Names Head of Wealth Management Group, Reports Record Growth for...

Captrust Financial Advisors, an independent registered investment advisor, has promoted Eddie Welch to managing principal for the wealth management group. The firm also reported...

Cetera’s Farpointe Wealth Partners Recruits $190 Million Team

Farpointe Wealth Partners LLC, an independent financial advice firm within the Cetera network, has added Schexnayder Wealth Advisors, a $190 million asset team led...

Atria to Buy Sixth Independent Broker-Dealer

Atria Wealth Solutions Inc., a wealth management holding company, has agreed to purchase SCF Securities Inc., an independent broker-dealer and registered investment advisor based...