Schorsch Unit Draws State Regulator's Scrutiny
Massachusetts regulators are investigating Realty Capital Securities, a spokesperson said in early November.
Securities America Nabs Ex-Advisor Group Recruiter
Gary Bender spent the bulk of his career at independent broker-dealers Royal Alliance and Woodbury.
Securities America Wraps Up $2.5B Insurance Acquisition
The latest deal brings the IBD to more than 200 advisors and an OSJ that sells variable insurance products.
Ladenburg Thalmann to Acquire KMS Financial Services
Recruiter Jonathan Henschen said the deal surprised him but makes sense given Ladenburg's reputation for keeping acquired BDs intact.
Securities America Buys BD Assets From Kansas City Life
The deal with Sunset Financial Services Inc. is expected to add 268 reps and about $2.4 billion in client assets to Securities America.
New Hire Roundup: Murphy, Fredrickson Move Up at SEC
Meanwhile, Arbor Point Advisors added Jeffrey Schmaltz and Justin Neuberg joined Convergence Investment Partners.
Why This Is a Good Time to Be an Advisor, of Any Age
This is our annual Careers supplement, and in the pages that follow we deliver what I humbly believe are a number of articles that you will find useful in planning and executing a more successful career.
New Hire Roundup: FPA Welcomes David Brand Back to the Fold
Also this week, Securities America names a director of practice succession and acquisition and a new member for its recruiting team, while an SEC litigator joins WIlmerHale.
$3.2 Million Team Comes Back to Securities America
Citing "cultural differences," Wayne Maier and his team split from National Planning Corp. after six years.
Securities America Forms Arbor Point Venture for Hybrid Advisors
The independent broker-dealer is working with NorthStar Financial on the venture, which offers reps a choice of custodial firms.