Jacqueline Sergeant

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Arizona Advisor Spearheads Tax Law That Aids Retirees

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Matthew Benson has helped enact state laws that benefit retirees on several fronts.

Former Conn. Advisor Indicted For Alleged $4M Investment Scam

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John Masanotti Jr. spent client money on home mortgages, luxury cars and country club expenses, prosecutors said.

RBC Hires Ex-Truist Team In Nashville With $730M In Client Assets

by FA Staff

The Glaser Group of Nashville, Tenn., is led by Louis Glaser with his two sons as vice presidents.

New Focus Financial CEO Explains Changes To Acquisition Strategy

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Other firms in the Focus network could merge if that's what they want, CEO Michael Nathanson said.

Finra Bars Northwestern Rep For Allegedly Processing Policies Without Clients' Consent

by FA Staff

Multiple clients of Michael Gerard Gravelyn said they had not signed policy applications.

$830M Team From Janney Joins LPL Independent Platform In Conn.

by FA Staff

Thimble Island Private Wealth is affiliated with LPL's Strategic Wealth Services.

LPL Adds Ex-UBS Advisor With $275M To Independent Platform

by FA Staff

Matthew Sheffield has launched Burlwood Wealth through an affiliation with LPL's Strategic Wealth Services.

Rockefeller Lands $1B Morgan Stanley Team in Charlotte, N.C.

by FA Staff

Landau Wealth Partners is led by longtime Morgan Stanley advisors Adam Landau and Ramy Georgy.

NYC Advisor Gets More Than Six Years For $6M Ponzi Scheme

by FA Staff

Some of Surage Perera's victims lost their life savings or had to delay their retirements, prosecutors said.

LPL Adds Ex-Cambridge Duo With $200M In Assets

by FA Staff

Timothy Heisterkamp and Max Neese operate Journey Financial in Jefferson, Iowa.

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