Docupace Leads Effort to Increase Industry STP
The firm's straight-through processing network initiative seeks to drive adoption by getting financial services firms to commit
Cetera Grabs Ex-Advisor Group COO to Lead Operations
Industry veteran David Ballard switches firms to work with his former boss Larry Roth in Los Angeles.
RCAP Sees Big Jump in Investor Interest
The group, which distributes American Realty Capital products, says sales of nontraded direct investments grew about 45% in March to $433.5 million.
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.