Ron Carson Jumping to Cetera From LPL
The potential switch could affect more than $6.5 billion in assets on its RIA platform and other operations.
LPL Welcomes Back $245M Team, 6 Advisors
Meanwhile, Korean-American bank in Los Angeles affiliates with Cetera BD.
SEC’s White: No SEC Fiduciary Rule Coming Before January
In her final House Financial Services panel testimony, White also said that the agency is still “significantly” underfunded.
BD Charged With Fleecing Seniors With Unsuitable Products, High-Pressure Contests
In one case, a woman dying of cancer in Massachusetts was pressured to buy a variable annuity.
Should Students Be Financially Literate Before They Take on College Debt?
Financial literacy courses could help student borrowers avoid delinquency or default, according to the director of GW's financial literacy center.
Advisor Group Says Price ‘Is Right’ for CEO Slot
The IBD firm, which has some 5,000 reps, taps a former wirehouse and tech executive for the position.
The Chilling Effect of an Over-Zealous FINRA's Gibbeting
As FINRA puts the regulatory thumbscrews on broker-dealers, stepped-up policing trickles down to the advisor level. It's not a good development.
LPL Hosting First Stand-Alone Event for Female Advisors
The conference is bringing together 100 registered reps and others to focus on leadership, wellness and more.
LPL Adds $650M RIA, 18 Reps From Voya
Also, Raymond James says it recruited a $300 million team from Merrill Lynch in New York.
With Trump, GOP in Control, Investment Strategists See Volatility, Uncertainty
JPMorgan’s David Kelly thinks Trump’s bigger proposals will be modified by establishment Republicans.