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Hilltop Adds Five Financial Advisors Managing $382 Million

Hilltop Securities Inc. and Hilltop Securities Independent Network Inc (HTIN) have added five new financial advisors managing approximately $382 million in client assets to...

Massachusetts Charges Adviser Over Failed Medical Marijuana Scheme

The Massachusetts Securities Division has charged Frederick V. McDonald Jr., a Massachusetts investment adviser representative, for his alleged role in a failed medical marijuana...

New Jersey Proposes Fiduciary Rule

The New Jersey Bureau of Securities has proposed a new fiduciary regulation that requires all registered financial services professionals in the state to be...

LPL Adds Former Voya Team to Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added O&R Partners, made up of financial advisors Dave Olivieri and Wes Rowlands, to its...

Lightyear-Backed Wealth Enhancement Group to Buy Third Philadelphia Advisory Practice

Wealth Enhancement Group, an independent wealth management firm that oversees $10.4 billion in client assets, has signed a definitive agreement to purchase Wiley Group,...

Former Foresters Financial Hybrid Team Joins LPL Financial

LPL Financial LLC, the nation’s largest independent broker-dealer, has added advisors Carrie Mullins, Sara Tanner, Susan Perry, Sierra Swidrak, Davis Siliga and Kalin Rooney...

Cerity Partners Acquisition to Create $21 Billion RIA

Cerity Partners, an independent wealth management and investment advisory firm, plans to merge with Blue Prairie Group, a retirement and investing consulting firm that...

SEC Charges Investment Adviser with Stealing Millions from Private Fund

The Securities and Exchange Commission has revoked the registration of a Seattle-based registered investment adviser and barred its principal from the securities industry for...

LPL Financial Adds $120 Million Team to BD and RIA Platforms

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

NFP to Buy Bronfman Rothschild to Create $10 Billion RIA

NFP Corp., an insurance broker and provider of wealth management, retirement and estate planning services, plans to acquire wealth advisory firm Bronfman E.L. Rothschild...