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Grove Point Hires Former Cetera Exec as Senior Vice President of...

Grove Point Financial LLC, an independent broker-dealer and registered investment adviser platform, has hired 26-year industry veteran, Denise McGee, as senior vice president of...

SEC Fines Two Kestra RIAs for Undisclosed Revenue Sharing Conflicts

The Securities and Exchange Commission has settled charges against Kestra Advisory Services LLC and Kestra Private Wealth Services LLC, two registered investment advisor subsidiaries...

Kestra’s Bluespring Hires Industry Veteran as VP of Business Consulting

Bluespring Wealth Partners LLC, a wholly owned subsidiary of Kestra Financial that focuses on acquiring registered investment adviser and wealth management firms, has hired...

Kestra Financial Names Former eMoney Exec as President

Kestra Financial Inc., a wealth management platform for independent financial professionals, has hired Stephen Langlois as president to oversee the Kestra-branded broker-dealer and registered...

FINRA Fines Kestra for Violating Customer Privacy

The Financial Industry Regulatory Authority has censured and fined Kestra Investment Services $125,000 for purportedly helping certain recruited brokers take nonpublic personal customer information...

Kestra Financial Recruits $325 Million Wealth Management Team from UBS

Kestra Financial Inc., an independent advisor platform, has recruited Giammarino Wealth Management, a team that oversees approximately $325 million in client assets.The members of...

Kestra Financial Recruits Wealth Management Team from Commonwealth

Kestra Financial Inc., an independent advisor platform, has recruited Ivory Wealth Management based in Essex, Connecticut, which oversees $214 million in client assets, from...

Former UBS Team Leaves Wirehouse Channel for Kestra

Kestra Private Wealth Services, LLC (Kestra PWS), a registered investment adviser subsidiary of Kestra Financial Inc., has added Three Bridges Planning, a five-person team...

Private Equity Firm to Purchase Majority Stake in Kestra Financial

Global private equity firm Warburg Pincus LLC has agreed to purchase a majority interest in independent broker-dealer Kestra Financial Inc. from its current owner...

Private Equity Firm Taps Goldman to Sell Kestra Financial

Private equity firm Stone Point Capital is planning to sell independent broker-dealer Kestra Financial Inc., less than three years after it purchased the firm...

Kestra Financial Hires New Vice President of Business Development

Kestra Financial Inc., an independent advisor platform headquartered in Austin, Texas, has hired 20-year financial services veteran Austin Moon III as its new vice...

Kestra Financial Recruits Law Enforcement-Focused Advisory Group from LPL

Independent advisor platform Kestra Financial Inc. has recruited Merrick Financial Group, a New York-based wealth management firm that serves the law enforcement community and...

Kestra Private Adds Another Former Wells Fargo Advisors Team

Kestra Private Wealth Services LLC, a registered investment adviser subsidiary of Kestra Financial Inc., has added St. Louis-based Undivided Wealth Management to its platform.Undivided...

Kestra Recruits Wells Fargo Advisors Team with $300 Million in AUM

Kestra Private Wealth Services LLC, a registered investment adviser subsidiary of Kestra Financial Inc. has added Liberty Wealth Solutions to its platform.Located in Paramus,...

Kestra Financial Appoints Kris Chester as Chief Operating Officer

Independent advisor platform Kestra Financial Inc. has hired financial services professional Kris Chester as its new chief operating officer.Chester spent the past 18 years...