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HighTower to Buy $4.5 Billion Salient Private Client

HighTower, one of the nation's largest registered investment advisors, has agreed to acquire Salient Private Client, the Houston-based wealth management business of Salient Partners...

Jackson Appoints Former NPH CEO as President of Advisory Solutions

Jackson National Life Insurance Company has appointed Scott Romine as president of advisory solutions for Jackson National Life Distributors LLC, the marketing and distribution...

SEC to Hold Public Fiduciary Rule Meeting Next Week

The Securities and Exchange Commission will discuss its long-awaited rule on the standards of conduct for broker-dealers and registered investment advisers at a public...

Securities America Recruits Former NPH Wealth Management Firm

Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS), has recruited Morrison, Nordmann & Associates, an independent wealth...

SEC Fines PNC, Securities America, and Geneos $15 Million for Share...

PNC Investments LLC, Securities America Advisors Inc., and Geneos Wealth Management Inc. have settled charges with the Securities and Exchange Commission for allegedly breaching...

Waddell & Reed Names New Chief Compliance Officer

Waddell & Reed Financial Inc. (NYSE: WDR) has appointed 26-year industry veteran Elizabeth Hansen as senior vice president and chief compliance officer of its...

SagePoint Adds Three Advisor Groups with $2 Billion in Client Assets

SagePoint Financial, a financial services firm with more than 1,900 advisors nationwide, announced that High Point Capital Group, Legacy Financial Advisors Inc., and Buckley...

Triad Affiliate Recruits $100 Million Advisor from Lincoln Financial

Triad Advisors LLC, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has recruited Atlanta area advisor Chris Kohne to Sugarloaf...

The DI Wire Q&A with ADISA President Keith Lampi

The DI Wire had a chance to speak with ADISA president Keith Lampi ahead of ADISA’s 2018 Spring Conference held next week in Orlando,...

Ladenburg Subsidiary Appoints Chris Yarosh to Head New Multigenerational Platform

Investacorp Inc., an independent advisory and brokerage firm and wholly-owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has launched its multigenerational consulting...