Ex-LPL Broker to Pay $1.9M in Fraud Case
At least seven Georgia investors were affected by Blake Richards' schemes, the SEC says.
Wells Fargo, U.S. Trust, Raymond James Add Teams From Rivals
Plus, a wealth group of five advisors affilates with LPL Financial in Wisconsin.
Wells Fargo, Raymond James Recruit Teams; LPL Adds 13 Reps
Plus, HighTower and NFP add separate retirement plan groups to their operations as partners.
As Kleintop Leaves LPL for Schwab, Will Morale Suffer?
The latest high-profile departure from LPL "does not bode well" for staff morale, says one recruiter; others disagree.
Commonwealth Grabs Group From LPL-Affiliated Firm
Benjamin W. Wong and Associates joined Commonwealth after their previous firm, Financial Telesis, was bought by an ex-LPL exec.
Schorsch's RCAP Buys Girard, Nears 10,000 FAs
RCS Capital moves to add Girard Securities to the expanding Cetera Financial Group of IBDs led by Larry Roth.
Schorsch's RCS Rebrands IBD Unit, Stays With Pershing
The unit, renamed Cetera Financial, will include expanded marketing platform and consulting services, Cetera CEO Larry Roth said.
Schorsch’s RCAP Buys Another IBD, Reports Q2 Results
VSR Group will join RCAP’s Cetera Financial group, boosting its advisor count to more than 9,200.
Sontag Joins Board of Focus Financial; Bruton In as Lucia Capital CEO
These growing firms aim to add more advisors — and business — from the wirehouses, as well as from independent firms.
‘Mutual RIA’ With Advisor Profit Sharing Launched by LPL Affiliates
Good Life Advisor Systems aims to share profits with all of its partnering reps nationwide, not just principals.