Cetera Strikes IPO Investment Deal With JMP, Expands Tech Ties With Broadridge
The group's 9,700 advisors will be able to offer retail clients access to initial public offerings and its financial-institution clients more self-clearing capabilities.
Schorsch’s RCAP Adds Ex-LPL Exec Dwyer in Leadership Shakeup
Bill Dwyer will be CEO of the Realty Capital Securities unit, while other new additions will give the rapidly growing firm a "deep bench."
LPL Names Russell’s Parker to Lead Investment and Planning Solutions
Parker will be based in San Diego and report to Robert Moore, the firm’s president of advisor and institution solutions.
New Hire Roundup: National Advisors Trust Names New CEO
This week in new hires, James Combs was named CEO of National Advisors Trust Co., and FSI elected two new board members.
Top Posts at Broker-Dealers See Big Changes
LPL, Morgan Stanley and Raymond James all announced big moves recently.
FSI Names Derek Bruton, Seth Miller to Its Board
The independent BD association names replacements for Bill Dwyer of LPL and Jim Livingston of National Planning Holdings.
As LPL’s Dwyer Steps Down, Moore Steps In
After 20 years, the executive leaves the IBD’s sales efforts in the hands of the Advisor & Institution Solutions president.
Slow and Steady Wins the Reg
In 2013, FSI’s main priorities will be engaging politicians on relevant regulations and legislation, like the DOL's fiduciary rule, BDs’ independent contractor status as well as certain provisions of Dodd-Frank.
FSI Adds to Board, ‘Strengthens Focus’ on Small Broker-Dealers
The cavalry is coming. Advocacy organization announces three new members to its board and a renewed commitment to small and mid-size broker-dealers.
Bill Dwyer Makes the Case for Success of LPL in ‘Golden Age of Advice’
LPL’s president of national sales lays out new initiatives in retirement plan advice and service to the high net worth and says the firm is “adding competencies” at a time of economic downturn.