Tag: wealth management
Advisor Group’s Securities America Recruits Advisors from LPL and Mutual of...
Securities America, a wealth management firm within Advisor Group’s network, has recruited three financial professionals with a total of $120 million in client assets....
Former Wells Fargo Advisor Launches Independent Practice with LPL Financial
LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Richard Pakes to its broker-dealer and corporate registered investment advisor platforms. Pakes...
Wealth Enhancement Group Buys $1.75 Billion Boston-Based RIA
Wealth Enhancement Group, an independent wealth management firm, has purchased North American Management, an independent registered investment adviser based in Boston that has $1.75...
FINRA Fines Securities America for Violating Customer Privacy
The Financial Industry Regulatory Authority has fined Securities America $125,000 for purportedly helping 12 recruited brokers take nonpublic personal customer information from their former...
LPL Financial Adds $675 Million Team
LPL Financial LLC, the nation’s largest independent broker-dealer, has added WWK Investments to its broker-dealer, corporate registered investment advisor and custodial platforms. The family...
Advisor Group Launches National Advisory Board
Advisor Group, a network of independent wealth management firms, has launched its new National Advisory Board (NAB), consisting of 12 advisors from across its...
Cetera’s Farpointe Wealth Partners Recruits $190 Million Team
Farpointe Wealth Partners LLC, an independent financial advice firm within the Cetera network, has added Schexnayder Wealth Advisors, a $190 million asset team led...
Team with $350 Million in Client Assets Returns to LPL Financial
LPL Financial LLC, the nation’s largest independent broker-dealer, announced that New Jersey-based Foran Financial Group has returned to the firm. The team serves approximately...
Stratos-Backed Brown Wealth Management Increases Client Assets to $1.2 Billion with...
Brown Wealth Management, a San Diego-based independent wealth management firm, has purchased Truuwater Financial. The transaction combines two San Diego-based wealth managers, expanding Brown...
Advisor Group Names President and CEO Of SagePoint Financial
Advisor Group, a network of independent wealth management firms, has appointed Desireé Sii as president and chief executive officer of SagePoint Financial following the...
