Ex-LPL Broker to Pay $1.9M in Fraud Case
At least seven Georgia investors were affected by Blake Richards' schemes, the SEC says.
Advisor Recruiting Up 40%: Raymond James’ Curtis
It’s not another 2009, but it’s the best of the past few years, says RJFS President Scott Curtis.
Raymond James IBD Loses Compliance Chief
Raymond James Financial Services CCO Donald Runkle has left the firm. No replacement has been found.
Raymond James Nabs $80M Wells Team in California
Two advisors join the employee channel in Santa Barbara with some $950,000 in yearly fees and commissions.
Raymond James Adds Teams From Morgan Stanley, Wells Fargo
Meanwhile, LPL Financial says a credit union with $317 million in wealth-management client assets is now affiliated with the IBD.
Raymond James Adds $100M Team; $84M Rep Returns to Securities America
The team joins from Wells Fargo, while the advisor comes back after departing from Valmark Securities.
Baird Grabs Wells Fargo Team as FSC Adds Morgan Stanley Reps
The wirehouse groups join an employee-owned firm and an IBD with about $215 million and $300 million in client assets, respectively.
LPL, Commonwealth Grab Advisor Teams
The two IBDs trade affiliated teams based in Minnesota and Iowa.
Advisors Move to Raymond James, Securities America, Wells Fargo
Raymond James adds a $1.6 million group from Wells Fargo; Securities America welcomes back a $2 million producer.
LPL Welcomes Back $200M Team; Raymond James Adds $220M Wells Group
The advisor group returns to LPL from Ameriprise, while Raymond James welcomes three reps to its Advisor Select channel.