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.
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.
Cetera Rebrands Its Four BDs
Cetera Financial Group announced Tuesday that it was embarking on a unified rebranding that would change the names of its four broker-dealers, but would “not change the way Cetera and its firms operate.”
Cetera Completes Genworth Financial Acquisition
Cetera Financial Group, the renamed and rebranded broker-dealer group once owned by ING and now owned by the private equity firm Lightyear Capital, announced on Monday that it has completed the acquisition of Genworth Financial Investment Services.
Cetera Financial to Acquire Genworth FIS Broker-Dealer
Firm that focuses on tax professionals as advisors will become fourth BD at Cetera.
Cetera Enrolls 3,500 Advisors as FSI Members to Boost Lobbying Effort
All three of Cetera’s broker-dealer firms-–Financial Network Investment Corp., Multi-Financial Securities Corp. and PrimeVest Financial Services Inc.–-and their affiliate advisors are now members of FSI.
Raising the Bar
For John Brackett, business isn’t all that bad.
Cetera Adds 35 FAs From QA3, Taps Ex-LPL Exec for Top Sales Post
Broker-dealer veteran Allison Couch, previously with LPL Financial, comes on board as its national sales manager
Valerie Brown Says Cetera Is Investing to Meet BD, Rep Needs: The Weekend Interview
Increased margin pressure on all IBDs, will lead—is already leading—many smaller broker-dealers to seek the shelter of larger BDs.
Cetera Adds to Leadership Team
Cetera Financial Group, based in El Segundo, Calif., said Oct. 12 that Jon Frojen joined the firm as its chief financial officer. He replaces Ashley...