LPL, Advisor Group Stop Sales of American Realty Capital REITs
LPL, the biggest independent broker-dealer, has suspended sales of products tied to the Schorsch real estate empire.
UBS Adds Merrill Advisor; NPC Recruits 2 Online
Reps move to National Planning Corp. from Ameriprise and LPL via The Advisor Center, an online clearinghouse.
Broker-Dealer INVEST Signs Equity Bank
INVEST currently supports 150 banks and credit unions and 1,100 representatives nationwide.
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.
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.
New Hire Roundup: CFP Board Announces Chair Appointments
This week in new hires, John Byrne and Bryan Hissong returned to Prudential Retirement, and Jac McLean was named head of distribution at Hartford Mutual Funds.
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.
Market Uncertainty Makes Alt Outlook Strong for 2013
Alternatives are well-positioned for fiscal cliffs, anemic growth and other uncertainties in 2013 and beyond.
Wirehouses, Others Actively Attract Reps
In the final months of 2012, the wirehouse firms continued to recruit advisors from each other and from other broker-dealers.
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.