Cetera Names Head of Advisor Growth Efforts
Brett Harrison will take on the new job and remain leader of one of Cetera's 11 broker-dealers.
American Century Adds LPL Exec; Lucia Grabs First Allied COO
Adam Sokolic has joined the mutual fund firm, while Tiy O'Neal is now with Lucia Securities.
First Allied to Partner With ‘Super-OSJ’
The Cetera broker-dealer will soon offer turnkey transition, marketing, recruiting and other services to advisors through Tambaro Financial Services.
FSI Boosts Lobbying on Federal, State Levels
With 10 staffers working the federal and state beats—and three more to be hired this year—the FSI is flexing its advocacy muscles.
Cetera Rolls Out Marketing Platform, Leaves Schorsch Drama in Dust
CEO Larry Roth says the network of broker-dealers is focused on building advisor results.
Cetera, LPL, Ladenburg Losing Appetite for M&A, Their Execs Say
After long acquisition sprees in recent years, execs from Ladenburg, LPL and Cetera express little interest in more BD deals at FSI OneVoice.
FSI Chair Blasts White House Fiduciary Memo as ‘Offensive’
FSI Chairman and Cetera President Antoniades says the memo's "ignorance" is "frankly offensive"; FSI also says it’s fighting FINRA's CARDS plan.
Regulators Widen Probe of Schorsch-Related Issues, Companies
Massachusetts authorities want to better understand accounting errors at the nontraded REIT firms.
Schorsch Denies ARCP Book-Cooking Allegations
The charges were raised by the firm’s former chief accounting officer in a lawsuit.
Some RCAP Sales Agreements Reinstated; Schwab, Fidelity Ease Ban
RCAP says that 70-plus selling agreements “have been reinstated to date.”