Broker-Dealers

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Fla.Team With $450M AUM Joins Raymond James From Merrill

by FA Staff

Anderson McKelvey Group is operated by Jesse Anderson, Christopher McKelvey and Anthony Gilotti.

LPL Braces For $50M SEC Fine For Off-Channel Comms Failures

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The company said in its annual report that the details of the fine are still under discussion.

Nearly 9,700 Series 7 Advisors Changed Firms in 2023, Report Says

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IBDs saw small gains while wirehouses suffered attrition.

Wintrust To Add $16 Billion To LPL's Institutional Platform

by FA Staff

Wintrust has agreed to move two of its wealth management units to LPL's platform early next year.

Stratos Wealth Lands Calif. Firm With $700M In AUM

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Pettinelli Financial Partners joins Stratos from Osaic. The firm's founder sought a succession plan.

NAPA Launches Retirement Income Certificate

by FA Staff

The new certification is meant to get members thinking about clients' 401(k) income.

DOL Fiduciary Proposal Needs 'Salesperson's Exemption,' Kitces Says

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The exemption would be granted to salespeople who do not present themselves to clients as advisors, he said.

Prospera Financial Services Adds $650 Million Firm

by FA Staff

Painter, Smith & Amberg has joined the Prospera network of firms.

Goldman Boosts CEO Solomon's Pay 24% After Firm's Profit Slumps 24%

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His pay jump was greater than every other major US bank CEO whose compensation has been disclosed.

Meeting-Free Fridays Aim To Boost Slumping End-Of-Week Productivity

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Getting more out of Fridays has long been an issue for companies.

OneDigital Buys $2.6B Wintrust Retirement Plan Subsidiary

by FA Staff

Wintrust Retirement Benefits Advisors serves more than 200 retirement plan sponsors.

Prospera Financial Adds $650M AUM Calif. Firm

by FA Staff

Painter, Smith & Amberg says its four advisors have more than 100 years in combined experience.

JPMorgan Hires Retired General Mark Milley As Senior Advisor

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Milley will advise the bank's board of directors, senior leaders and clients on dangers around the world.

Cetera Financial Acquires S.C. Firm With $312M AUA

by FA Staff

Regal Wealth Advisors in Myrtle Beach has joined Cetera's Summit Financial Networks.

2023 Recruits Add $15.9 Billion To Commonwealth

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The leading financial network rolled out new offerings of every stripe to keep advisors coming.

Gensler Vows To Advance SEC's Rule Agenda As Election Looms

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November's elections could impact the agency's rule plans.

Morgan Stanley To Cut Several Hundred Jobs In Latest Pullback

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The cuts will reportedly affect less than 1% of employees in the wealth-management business.

LPL To Acquire $100B AUM Atria Wealth Solutions

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The deal is expected to give LPL another 2,400 advisors, the firm said.

Former Ga. Advisor Gets Nearly Eight Years For $49M Ponzi Scheme

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John J. Woods defrauded retirees, military veterans and other clients of their life savings, prosecutors said.

SEC Fines 16 Advisors, Brokers $81M Over Off-Channel Messaging

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The enforcement action is part of an ongoing crackdown by the agency against undocumented business communications.

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