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LPL Adds Three-Advisor Team with $100 Million in Client Assets

LPL Financial LLC, the nation’s largest independent broker-dealer, has added three financial advisors, Shawn Walton, Debbie Hawksworth and Richard Coloni, to its broker-dealer and...

LPL Financial Recruits $180 Million Advisor from Northwestern Mutual

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisor Lyle Weintraub has joined its broker-dealer and hybrid registered investment advisor platforms...

SEC Fines HSBC Securities $725,000 over Adviser Compensation Misstatements

HSBC Securities Inc., a registered investment adviser and broker-dealer, has agreed to pay the Securities and Exchange Commission $725,000 for allegedly making false and...

Captrust Acquires $5.5 Billion RIA

Captrust Financial Advisors, an independent registered investment advisor with more than $368 billion in client assets under advisement, has acquired Montgomery, Alabama-based Welch Hornsby...

FINRA Issues Notice on Pandemic-Related Business Continuity Planning

Due to the recent outbreak of coronavirus disease (COVID-19), the Financial Industry Regulatory Authority has issued a notice reminding firms to consider business continuity...

FINRA Fines/Suspends Broker Over Firearms Business

The Financial Industry Regulatory Authority has fined and suspended a former Morgan Stanley broker for failing to notify the broker-dealer about the full nature...

LPL Recruits $150 Million Team Serving NFL Clients and Professional Athletes

LPL Financial LLC, the nation’s largest independent broker-dealer, has recruited SilverRock Wealth Partners, a Charlotte, North Carolina-based team with approximately $150 million in brokerage...

Ameriprise Adds Two Teams with $272 Million in Client Assets

Ameriprise Financial (NYSE: AMP), a financial services firm with approximately 10,000 financial advisors, has added two teams with $272 million in combined assets under...

Fiduciary Trust Company Completes Acquisition of $6 Billion RIA

Fiduciary Trust Company International, a global wealth manager and subsidiary of Franklin Templeton, has completed its acquisition of Athena Capital Advisors LLC in a...

LPL Financial Recruits $610 Million Team from Raymond James

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Global Advisor Group to its broker-dealer and hybrid registered investment advisor platforms. Global Advisor Group...