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Triad Recruits Former LPL Retirement Group with $10 Billion in Assets...

Triad Advisors, LLC, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), and Resources Investment Advisors LLC, a wealth management and...

Former HD Vest CEO Takes the Reins at HighTower

HighTower, an independent fee-based advisory firm, has named industry veteran Bob Oros as its new chief executive officer. Oros, who has more than 20 years...

Mercer Advisors Acquires California-Based RIA Dragon Financial Group

Mercer Advisors Inc., a registered investment adviser, has acquired Dragon Financial Group, an RIA firm located in San Mateo, California with more than $110...

SEC Charges Two Robo-Advisers with Making False Statements

The Securities and Exchange Commission has instituted settled proceedings against two robo-advisers for making false statements about investment products and publishing misleading advertising. The...

Husband-Wife Team Join Cetera from Ameriprise

Cetera, a network of independent broker-dealer firms, announced that husband-and-wife financial advisory team, Joseph and Pamela Malara, have joined the Cetera Investment Services platform....

Prospera Financial Adds $150 Million Team from UBS

Prospera Financial Services Inc., a full-service independent broker-dealer, has added LiveOak Wealth Advisors to its platform. Based in Lafayette, Louisiana, the LiveOak team spent nine...

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...

Baird and Hilliard Lyons to Merge

Wealth management giant Baird has agreed to acquire rival brokerage firm Hilliard Lyons and its affiliate Hilliard Lyons Trust Company, both based in Louisville,...

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...

Cetera Hires Former LPL Exec as a Community Financial Institution Director

Cetera, a network of independent broker-dealer firms, has hired Brian Neyland as an independent program manager servicing banks, credit unions and independent advisors in...