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Broker-Dealers

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News |Company |Broker-Dealers | Aug 16 2017

LPL Financial Buys National Planning Holdings

LPL Financial, a nation’s largest independent broker-dealer, has acquired the independent broker-dealer network of National Planning Holdings Inc. Advisors affiliated with NPH’s…

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News |Company |Broker-Dealers | Aug 16 2017

Securities America Recruits Kansas-Based Broker-Dealer With $340 Million in AUM

Securities America, the broker-dealer subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS), has recruited Olathe, Kansas-based broker-dealer Compass…

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Triloma Expands Senior Housing Advisor, Hires New Chief Investment Officer

Triloma Financial Group expanded its senior housing advisor, Triloma Senior Housing, with the hire of chief investment officer James Hendrix.  Prior to joining Triloma, Hendrix…

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News |Company |Broker-Dealers | Aug 14 2017

Amanda Teeple Joins Evolv Capital as Managing Director

Evolv Capital Partners LLC, a developer and distributor of direct alternative investments, has hired Amanda Teeple as a managing director. In her new role, she will be responsible…

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News |Company |Broker-Dealers | Aug 09 2017

Kestra Acquires H. Beck and $2.4 Billion AUM

Independent advisor platform Kestra Financial Inc. has acquired H. Beck Inc., an independent financial advisor with 600 reps and $2.4 billion in assets under management, from…

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News |Company |Broker-Dealers | Aug 09 2017

Securities America Raises $50,000 to Support Military Non-Profit

Securities America, the independent broker-dealer subsidiary of Ladenburg Thalmann Financial Services, Inc. (NYSE: LTS), recently wrapped up a fundraising effort that netted…

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News |Company |Broker-Dealers | Aug 08 2017

North Dakota Securities Department Settles with Questar over Rep’s 15-Year Ponzi Scheme

The North Dakota Securities Department reached a $2.4 million settlement with broker-dealer Questar Capital Corporation for victims of a 15-year Ponzi scheme run by former…

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News |Company |Broker-Dealers | Aug 07 2017

Triad Advisors Recruits Hybrid RIA Firm with $150 Million in AUM

Triad Advisors Inc., a hybrid independent broker-dealer and registered investment advisor, has recruited Claris Financial LLC to its broker-dealer and hybrid RIA custodial…

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News |Company |Broker-Dealers | Aug 01 2017

LPL Recruits 72 Advisors in 2Q17, Nearly 21 Percent from Wells Fargo

LPL Financial LLC, the nation’s largest independent broker-dealer, signed 72 advisors in the second quarter of 2017, with approximately 21 percent joining from wirehouse Wells…

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News |Company |Broker-Dealers | Jul 28 2017

LPL 2Q17 Earnings Per Share Up 40 Percent Year-Over-Year

LPL Financial Holdings Inc. (NASDAQ: LPLA) announced its second quarter of 2017 earnings yesterday and held a conference call to discuss the results. Earnings per share increased…

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News |Company |Broker-Dealers | Jul 27 2017

Ameriprise Reports 17% Increase in Net Income and 4% Growth in Net Revenues

Ameriprise Financial Inc. (NYSE: AMP), one of the nation’s largest independent broker-dealers, reported its financial results for the second quarter of 2017 and held a conference…

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The DI Wire Q&A with Sandlapper Founder and CEO Trevor Gordon

The DI Wire sat down with Trevor Gordon, founder and chief executive officer of Sandlapper Securities LLC, to discuss the company, the future of the 1031 exchange industry, and his…

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News |Company |Broker-Dealers | Jul 21 2017

Newbridge Fined $500,000 for Not Supervising Pennsylvania Broker

The Pennsylvania Department of Banking and Securities has fined Newbridge Securities Corporation $499,000 for failing to supervise one Pennsylvania broker that sold structured…

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News |Company |Broker-Dealers | Jul 21 2017

Georgia Advisory Firm with $351 AUM Joins LPL

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Strong Gaddy Lee Wealth Management has joined its broker-dealer platform and aligned with…

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News |Company |Broker-Dealers | Jul 19 2017

Former Signator CEO Named President and Managing Partner of Signator OSJ

Edgewood Financial Network, an office of supervisory jurisdiction for dual-registered broker-dealer and investment adviser, Signator Investors, has named Brian Heapps as managing…

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News |Company |Broker-Dealers | Jul 18 2017

MCI Hires National Accounts Vice President

MCI (Megatel Capital Investment), the capital markets division of the Megatel Group of companies, has hired William Shea as vice president of its national accounts team. Shea has…

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News |Company |Broker-Dealers | Jul 17 2017

RIA Firm Joins DFPG

RCM Investments, a registered investment advisory firm located in Provo, Utah, has joined DFPG Investments Inc., a dually-registered independent broker-dealer and investment…

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News |Company |Broker-Dealers | Jul 14 2017

Advisor Team Affiliates with $1.1 Billion AUM Joins Signator Affiliate

Royal Securities Company, a 17-member advisor team based in Grandville, Michigan with $1.1 billion in assets under management, is joining VantagePointe Financial Group, an…

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News |Company |Broker-Dealers | Jul 13 2017

Mercer Advisors Buys RIA with $160 Million AUM

Mercer Advisors Inc., a Santa Barbara-based registered investment advisor, has acquired Wealth Design Services, a Rochester, New York-based RIA with approximately $160 million of…

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News |Company |Broker-Dealers | Jul 05 2017

Colorado-Based Wealth Management Firm with $80 Million AUM Joins DFPG Investments

DFPG Investments Inc., a dually-registered independent broker-dealer and investment advisor, announced that Greenbook Wealth Management has joined the firm.  Englewood,...

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