Home Tags RIA

Tag: RIA

LPL Financial Recruits Community First Investment Group

LPL Financial LLC, the nation’s largest independent broker-dealer, has recruited Community First Investment Group, the investment program offered at Community First Bank of Indiana....

LPL Financial Adds Former Wells Fargo Firm to Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Team Preheim Advisory to its broker-dealer and corporate registered investment advisor platforms. Founded by Karl...

Ladenburg’s Securities Service Network Recruits New York Practice With $180 Million...

Securities Service Network LLC, an independent advisory and brokerage firm and wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has recruited...

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...

LPL Financial Adds Former Summit Brokerage Firm to Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Patriot Wealth Management to its broker-dealer and corporate registered investment advisor platforms. Patriot joins...

SEC Charges Atlanta Investment Adviser with Defrauding a Private Fund and...

The Securities and Exchange Commission has charged an Atlanta investment adviser and an entity he controls with defrauding a private fund they managed and...

Lightyear-Backed Wealth Enhancement Group to Buy $500 Million Advisory Practice

Wealth Enhancement Group, an independent wealth management firm that oversees $9.6 billion in client assets, has signed a definitive agreement to purchase Summit Planning...

Former Morgan Stanley Team Launches Independent RIA in New York

A team that oversaw $650 million in client assets at Morgan Stanley, has launched Opal Wealth Advisors, an independent registered investment advisor based in...

LPL Financial Adds Former Kestra Team to its RIA and IBD...

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Regal Wealth Advisors to its broker-dealer and corporate registered investment advisor platforms. Regal joins...

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...