Cetera Launches Advisory Platform to Enhance Wealth Management
Cetera Financial Group announced on Friday, June 18, that it has successfully rolled out AdvisoryOnline 2.0 to its independently managed broker/dealers, Financial Network Investment Corp. and Multi Financial Securities Corp.
ING Sells Three B/Ds
On November 3, ING said it had agreed to sell three of its U.S. broker/dealers that comprise the ING Advisors Network to Lightyear Capital LLC,...
NEWS & PRODUCTS, OCTOBER 2008
The SEC announced September 11 that it had brought an enforcement action against LPL Financial Corp., saying the largest independent broker/dealer had failed to safeguard...
Reorganization at ING Broker/Dealer Unit
ING Advisors Network announced a reorganization August 13 under which the presidents of its four constituent broker/dealers--Financial Network Investment Corporation, ING Financial Partners, Multi-Financial Securities, and PrimeVest Financial Services--will now report to John Simmers, CEO of ING Advisors Network.
Broker/dealer resource guide 2007
Click here to download featured Broker/Dealer profiles from the July 2007 issue of Boomer Market Advisor . Advantage Capital Corp. Atlanta, Ga. 800-235-2237 www.joinacc.com Years in business: 60 Number of producers:...
NEWS & PRODUCTS, June 2007
NASD has fined two Fidelity broker/dealers for preparing and distributing misleading sales literature promoting Fidelity's Destiny I and II Systematic Investment Plans, which were sold...