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Preferred Capital Securities Hires SVP of Customer Experience

Preferred Capital Securities, an independent managing broker-dealer, has hired Wes Smith as senior vice president of customer experience. Prior to joining the firm, Smith spent...

LPL Reports First Quarter 2022 Results, Broker Count Exceeds 20,000

LPL Financial Holdings Inc. (Nasdaq: LPLA), the parent of LPL Financial LLC – the nation’s largest independent broker-dealer, released its first quarter 2022 financial...

SEC Charges Dually Registered Broker with Operating Ponzi Scheme

The Securities and Exchange Commission has filed an emergency action and charged North Carolina-based broker and investment adviser Shawn Good with defrauding clients and...

LPL Financial Recruits $120 Million Father-Daughter Team

LPL Financial LLC, the nation's largest independent broker-dealer, has added Northern Lakes Financial Group to its broker-dealer, hybrid registered investment advisor, and custodial platforms....

SFA Partners Names EVP and Chief Operating Officer

SFA Partners, a group of independent financial advisor businesses, has promoted Jamie Mackay to executive vice president and chief operating officer. In his new...

Advisor Group’s Triad Recruits Gallagher’s $6 Billion Retirement Consulting Practice

Triad Advisors, an independent wealth management firm and part of the Advisor Group network, has recruited Gallagher's Retirement Plan Consulting Practice, a team of...

CI Financial Plans IPO to Take U.S. Wealth Business Public

CI Financial Corp. (NYSE: CIXX, TSX: CIX) announced plans to sell up to 20 percent of its U.S. wealth management business via a U.S....

Former LPL CIO Joins Carson Group as Managing Partner and Chief...

Carson Group, a financial services firm that manages $20 billion in assets, has hired Burt White as managing partner and chief strategy officer to...

Morgan Stanley to Sell $15 Billion Eaton Vance RIA Business to...

Morgan Stanley has agreed to sell its $15 billion registered investment advisory arm, Eaton Vance WaterOak Advisors, in two parts to CI Financial Corp....

City National Rochdale to Pay $30 Million to Settle SEC Charges...

The Securities and Exchange Commission reported that registered investment adviser City National Rochdale, LLC has agreed to pay more than $30 million to settle...
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