HighTower Gives Advisors Envestnet Retirement Tool
The partnership aims to boost the retirement plan business of its independent advisors.
FINRA Responds to SIFMA's Latest Critiques of Proposed Data System
Industry trade groups raise fresh concerns with latest plan to collect broker-dealer account data through Comprehensive Automated Risk Data System.
Raymond James Adds Ex-LPL Group in N.J.
Boutique wealth groups add teams in Arizona and Iowa.
No Talk of Cetera Spinoff, CEO Roth Says
As Cetera names winners of its Business Plan Challenge, CEO Larry Roth says "there's been no conversation around selling" the BD group.
RCAP Says Some Selling Deals Have Resumed as Execs Buy Company Stock
The nontraded REIT distributor stays mum on which broker-dealers have changed their sales policies on ARCP products.
Are Privately Owned Broker-Dealers a Dying Breed?
With the recent sales of broker-dealers, have you noticed how many BDs in the top 50 are privately owned?
Securities America Nabs Ex-Advisor Group Recruiter
Gary Bender spent the bulk of his career at independent broker-dealers Royal Alliance and Woodbury.
Schorsch’s Cetera Rolls Out Consulting Group for Advisors
Cetera's 9,000-plus independent reps will get easy access to accounting, legal and other experts over the next year, starting with the top performers.
Ex-Schwab Rep Barred for Stealing, Reselling $1M in Office Equipment
The former broker faces other charges tied to drug dealing and illegal use of a communications device in Florida, FINRA says.
Raymond James Taps Ex-Wirehouse Manager for Bay Area Growth
The former Morgan Stanley, Citi and Merrill Lynch employee will be based in San Francisco.