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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...

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...

Massachusetts Orders NPH Broker-Dealer to Refund Investors for Non-Traded REIT Sales

The Massachusetts Securities Division has ordered SII Investments Inc., an independent broker-dealer within the National Planning Holdings network, to pay restitution to certain Massachusetts...

LPL Financial Adds Former First Allied Team to its Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Sackman & Son Financial Services to its broker-dealer and corporate registered investment advisory platforms....

LPL Reports Earnings Surge During Second Quarter

LPL Financial, the nation’s largest independent broker-dealer, announced its financial results for second quarter ended June 30, 2018. The company reported net income of $119...

LPL Nearly Doubles Earnings in 1Q18, Provides Update on NPH Acquisition

LPL Financial, the nation’s largest independent broker-dealer, announced its financial results for the first quarter ended March 31, 2018 and gave an update on...

Jackson Appoints Former NPH CEO as President of Advisory Solutions

Jackson National Life Insurance Company has appointed Scott Romine as president of advisory solutions for Jackson National Life Distributors LLC, the marketing and distribution...

Commonwealth Nabs $263 Million Team from INVEST Financial

Commonwealth Financial Network, the nation’s largest private registered investment adviser and independent broker-dealer, has added Riverstone Wealth Partners LLC of St. Charles and Naperville,...

Cetera Financial Institutions Recruits Marquette Bank Program from NPH Affiliate

Cetera Financial Institutions, a member of the Cetera Financial Group network of independent broker-dealer firms, has recruited the wealth management program of Marquette Bank,...

LPL Financial Completes NPH Acquisition

LPL Financial, the nation’s largest independent broker-dealer, has completed its acquisition of broker-dealer network National Planning Holdings Inc., which is comprised of INVEST Financial...