Pilar Pettys has joined The Private Client Reserve as a wealth management advisor in Los Angeles.
Jeffrey Rosenthal, Nathan Stibbs and Roger Greenway have taken on new responsibilities at the firm.
James Pohlman has joined the firm from Wells Fargo in St. Louis, Mo.
Bhumi Shah has been named the Financial Planning Association’s diversity scholarship recipient for its 2015 retreat.
Fines levied by the self-regulator of securities firms were roughly $135 million in 2014, an increase of 125 percent from the prior year.
LPL Financial announced today that the Center for Wealth Planning (CWP), a nationwide network of independent advisors, has joined its RIA custodial platform.
Xavier Martinez has also been named senior vice president.
Ann Limberg will oversee strategic, fiduciary and administrative services.
Brett Harrison, CEO of Cetera Advisors, takes on newly created role.
Ian Schweid will be responsible for all aspects of the banks digital services.