13 Best & Worst Broker-Dealers: Q3 Earnings, 2017
Most, but not all, large financial firms with broker-dealer operations reported positive results for the quarter.
HighTower Adds LPL Group in St. Louis
Meanwhile, a UBS team forms an RIA in Louisville and signs on with Raymond James' Investment Advisors Division.
12 Best & Worst Broker-Dealers: Q3 Earnings, 2016
After two weak quarters, the financial sector begins to see better results.
Ladenburg Thalmann Hosts Female-Advisor Event for IBDs
The women met in Salt Lake City and heard from Col. Jill Morgenthaler and other VIPs.
Securities America to Buy Foothill Securities' Advisor Business
In the deal, Securities America will add up to 210 advisors with some $5 billion in assets.
Securities America to Pay $1.5M for Fund Overcharges
The broker-dealer "disadvantaged" 1,514 clients who were eligible to buy share classes without extra charges, FINRA says.
Ladenburg Thalmann Rolls Out Robo-Advisor
Reps in Ladenburg’s network, which includes Securities America, Triad, Investacorp and other IBDs, can offer automatic investing to clients with as little as $500.
Securities America Hosts National Conference, Women’s Summit
The indie broker-dealer also says its reps can begin using a mobile-check deposit app.
13 Best & Worst Broker-Dealers: Q3 Earnings, 2014
The third quarter saw several firms get hit with problems, while others were able boost their financial results.
FSI Taps Cetera, First Allied Exec as Vice Chairman
Adam Antoniades takes on a new role at FSI, while Richard Lampen of Ladenburg Thalmann gets a new title as well.