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LPL Recruits Financial Advisors from Sagepoint and Ameriprise

LPL Financial LLC, the nation’s largest independent broker-dealer, has added eight financial advisors to its broker-dealer and corporate registered investment advisor platforms aligned with...

Waypoint Expands Affiliated Broker-Dealer Team with Five New Hires

Waypoint Real Estate Investments, a real estate investment firm focused on the U.S. rental housing sector, has added five regional wholesalers to its affiliated...

LPL Financial Recruits Former MassMutual Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added the newly named Twenty Four Wealth Management to its broker-dealer and hybrid registered investment...

LPL Financial Promotes National Sales Exec to Managing Director

LPL Financial LLC, the nation’s largest independent broker-dealer, has promoted Matt Enyedi from executive vice president to managing director of national sales. Enyedi began his...

Concorde Expands Team with Two Senior Executive Hires

Concorde Investment Services, a broker-dealer and subsidiary of Concorde Holdings, has named Lori Kamen as chief compliance officer and Melissa Shrimpton as operations manager. Kamen...

Private Equity-Backed Wealth Enhancement Group to Buy $990 Million Hybrid

Wealth Enhancement Group, an independent wealth management firm that oversees $15.1 billion in client assets, has agreed to purchase BPU Investment Management Inc., a...

SEC Charges Recidivist Investment Adviser with Defrauding Retirees

The Securities and Exchange Commission has charged Sacramento, California-based investment adviser firm Springer Investment Management Inc., doing business as Springer Financial Advisors (SFA), and...

LPL Recruits Former Advisor Group Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added seven financial advisors with CPC Financial Planning to its broker-dealer and corporate registered investment...

Manhattan Investment Adviser Charged in $1.5 Million Client Theft

The United States Attorney for the Southern District of New York has unsealed an indictment charging Donald LaGuardia with securities fraud, wire fraud, and...

LPL Financial Recruits $500 Million Team from Centaurus

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Herbert Financial Group to its broker-dealer and corporate registered investment advisor platforms. The firm’s...