Securities America Hosts National Conference, Women’s Summit
The indie broker-dealer also says its reps can begin using a mobile-check deposit app.
Focus Financial Obtains $1B for Growth
The credit facility is available to all Focus firms and will fund programs to support efforts to go independent and plan for succession.
LPL Adds Teams From Morgan Stanley, Lincoln; Merrill Grabs Ex-UBS Duo
The indie broker-dealer should bring in about $600 million in new assets and the wirehouse about $300 million.
4 Signs the Wirehouse Team Ain’t Movin’
There are some easy ways to probe the real intentions of advisors who say they want to go independent.
Wells Fargo, Hearsay Social Roll Out New Tech Tools
The wirehouse boosts reps' tablet power, while the social media tech firm introduces a "universal" supervision solution.
SIFMA, FSR Propose ‘Uniform Best Interests’ Standards for BDs
SIFMA’s CEO, Ken Bentsen, says its legal standard would protect investors and avoid “separate and inconsistent” fiduciary policymaking at DOL and SEC.
Raymond James Lands Its Biggest Recruit Ever, From Morgan Stanley
The Americas Group, based in South Florida, manages some $2.4 billion for retail and institutional clients.
Voting Begins for 25th Annual Broker-Dealers of the Year
Reps of independent broker-dealers can cast their ballots, rating how well—or poorly—their own BDs behave in annual Investment Advisor reader poll.
LPL Names Former E-Trade Exec CFO
The firm is filling a slot vacated by Dan Arnold in early May when he replaced Robert Moore as president.
Barclays U.S. Wealth May Fetch $250 Million, Credit Suisse Says
Stifel Financial is reportedly in a deal to acquire the firm's roughly 250 financial advisors.