Tag: office of supervisory jurisdiction
Securities America Nabs $560 Million Hybrid
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has added Goldstein & Associates, an independent wealth management firm...
Securities America Launches Super OSJ With Former SA Stone Wealth Management...
Securities America, a subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has partnered with wealth management industry veteran David Pintaric to launch his...
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...
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...
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...
IFP Adds Another Executive Ahead of Broker-Dealer Launch
Independent Financial Partners, a registered investment adviser and office of supervisory jurisdiction for LPL Financial, has hired Bill McCauley as its new chief financial...
NAPA President Named New Head of IFP Plan Advisors
Independent Financial Partners, a registered investment adviser and office of supervisory jurisdiction, has hired Jeff Acheson as divisional president of IFP Plan Advisors, the...
RIA with $9.5 Billion AUM Leaving LPL to Launch Broker-Dealer
Independent Financial Partners (IFP), a registered investment adviser and office of supervisory jurisdiction for LPL Financial, is launching its own broker-dealer within the next...
