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LPL Financial Lures Retirement & Investment Group From Raymond James

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Retirement & Investment Group has joined LPL's broker-dealer and corporate registered investment advisor (RIA)...

Equita Financial Network Announces New Member Firm

Equita Financial Network, Inc., a recently launched network of independent, women-led financial planning firms nationwide, announced that Truman Wealth Advisors of Columbia, Missouri, led...

LPL Financial Adds Former Cetera Team to Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Founders Investment Services, offered at Founders Federal Credit Union, to its broker-dealer and corporate...

LPL Recruits Former Cadaret Grant Team

LPL Financial LLC, a nation’s largest independent broker-dealer, has added Mayco Financial Services to its broker-dealer and corporate registered investment advisor platforms. Mayco, which...

Ladenburg Subsidiary Investacorp Adds Father-Son Team to Platform

Investacorp Inc., an independent advisory and brokerage firm that oversees more than $16 billion in total client assets, has added Wealth Innovations to its...

LPL Recruits Former Wells Fargo Advisors Financial Advisor

LPL Financial LLC, the nation’s largest independent broker-dealer, has recruited former Wells Fargo Advisors financial advisor Steven Jolly, who serves approximately $190 million of...

Centaurus Financial Names New Corporate Counsel

Centaurus Financial Inc., an independent broker-dealer, has hired Michael West to serve as corporate counsel to the firm. Prior to joining Centaurus, West spent nine...

Former Broker Pleads Guilty to Fraud and Lying to the SEC

Richard Cody, a former investment adviser and broker who was previously charged by the Securities and Exchange Commission with defrauding Massachusetts retirees, pled guilty...

Edelman Financial Engines Appoints DOL Fiduciary Rule Architect Phyllis Borzi to...

Edelman Financial Engines, a registered investment advisor with $200 billion in client assets, has appointed Phyllis Borzi to its board of directors. Borzi, who...

Securities America Recruits Betcher Financial Group from ONESCO

Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has recruited Betcher Financial Group, a network of nine advisors...