NEWS TIPS  ·   Advertise  ·   Post Jobs  ·   About Us  ·   Contact Us  ·   Log In  ·   Register

Broker-Dealers

Pages  < 1 2 3 4 >  Last ›

News |Company |Broker-Dealers | Jun 28 2017

Ameriprise Schedules Second Quarter 2017 Investor Conference Call

Ameriprise Financial, Inc. (NYSE: AMP), one of the nation’s largest independent broker-dealers, plans to announce its second quarter 2017 financial results on Tuesday, July 25,...

Read More...

FINRA Accuses Former National Securities Rep and Assistant of Converting Customer Funds

The Financial Industry Regulatory Authority has filed a complaint against former National Securities Corporation registered representative Kyle Harrington and his assistant Linda…

Read More...
News |Company |Broker-Dealers | Jun 27 2017

LPL Names New Chief Information Officer

LPL Financial LLC, a leading retail investment advisory firm and independent broker-dealer, has hired Scott Seese to serve as managing director and chief information officer,...

Read More...
News |Company |Broker-Dealers | Jun 23 2017

S2K Continues Hiring Spree with Addition of Former LPL Marketing Head

S2K Financial Holdings, the holding company for independent broker-dealer S2K Financial, named Melissa Socci to the newly created position of chief marketing officer for S2K…

Read More...
News |Company |Broker-Dealers | Jun 22 2017

Cetera Recruits Firm with $800 Million AUM

Cetera Financial Group, a leading network of independent firms, recruited HBW Partners to Cetera Advisor Networks, and one of its member firms. To facilitate this transition, HBW…

Read More...
News |Company |Broker-Dealers | Jun 21 2017

Arete Appointed as Managing Broker-Dealer of IGF Real Estate Investment Fund

Arete Wealth Management, an independent broker-dealer and registered investment advisor, was appointed as the new managing broker-dealer for IGF Investment Grade Fund I LP.  IGF…

Read More...
News |Company |Broker-Dealers | Jun 20 2017

Griffin Capital Securities Names New Chief Executive Officer

Griffin Capital Securities LLC, the captive broker-dealer and distributor of products sponsored by Griffin Capital, has named Mark Goldberg as the company’s new chief executive…

Read More...
News |Company |Broker-Dealers | Jun 20 2017

MVP American Securities Names New Managing Director of Capital Markets

MVP American Securities, an independent broker-dealer based in Las Vegas, promoted Brandon Welch to managing director of capital markets to oversee the company’s sales and national…

Read More...
News |Company |Broker-Dealers | Jun 19 2017

North Carolina Advisory Jumps from Ameriprise to LPL

LPL Financial LLC, a leading retail investment advisory and independent broker-dealer firm, announced that Socratic Wealth…

Read More...
News |Company |Broker-Dealers | Jun 14 2017

Black Box Pension Advocates Joins LPL Financial

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Cleveland-based Black Box Pension Advocates has joined its broker-dealer platform and aligned with…

Read More...
News |Company |Broker-Dealers | Jun 14 2017

Mercer Advisors Names New CEO

Mercer Advisors Inc., a registered investment advisor firm based in Santa Barbara, California, appointed Dave Welling as chief executive officer as part of a planned leadership…

Read More...
News |Company |Broker-Dealers | Jun 14 2017

Arete Helps Fund Sports Tech Company

Digital Golf Technologies, a start-up sports tech company, has completed its initial series of capital and secured $4 million in capital funding for the company.  Funding came…

Read More...

FINRA Bars Former Guggenheim Rep for Submitting False Expense Reports

The Financial Industry Regulatory Authority has barred a former Guggenheim Securities representative for allegedly submitting false expense reports that contained material…

Read More...
News |Company |Broker-Dealers | Jun 13 2017

Holly Street Wealth Advisors Joins Tru Independence Platform

Holly Street Wealth Advisors, an independent SEC-registered investment advisor based in Pasadena, California, has joined the Tru Independence RIA platform.  Holly Street Wealth…

Read More...
News |Company |Broker-Dealers | Jun 12 2017

Triad Advisors Hires Cetera’s Former Chief Compliance Officer

Triad Advisors Inc., a hybrid independent broker-dealer and registered investment advisor, announced that industry executive Bernie Breton joined the company as chief compliance officer.  Breton has spent nearly…

Read More...

FINRA Fines Ameriprise Rep for Unsuitable MLP Investment

The Financial Industry Regulatory Authority fined 22-year Ameriprise veteran advisor Geraldine Gordon for recommending a client invest half of her liquid net worth into a…

Read More...
News |Company |Broker-Dealers | Jun 09 2017

Houston-Area Adviser Pleads Guilty in $1.9 Million Fraud

Lawrence Allen DeShetler, an investment adviser and certified financial planner in The Woodlands, Texas pleaded guilty to mail fraud in U.S. District Court in Beaumont, Texas. ...

Read More...
News |Company |Broker-Dealers | Jun 08 2017

Cetera to Utilize Facial Recognition Software for Financial Advisors and Clients

Cetera Financial Group, an independent broker-dealer network, is launching a new facial recognition software named Decipher to be used by its financial advisors and their clients…

Read More...
News |Company |Broker-Dealers | Jun 07 2017

LPL to Limit Fees on Non-Traded REITs and BDCs

LPL Financial, the nation’s largest independent broker-dealer, is limiting sales commissions on certain illiquid investments in preparation for the Department of Labor’s fiduciary…

Read More...
News |Company |Broker-Dealers | Jun 07 2017

Texas Securities Board Fines Firm for Falling for SPAM Emails

The Texas State Securities Board has fined and reprimanded a Chicago-based securities dealer whose compliance officer repeatedly wired funds to individuals pretending to be a…

Read More...

Pages  < 1 2 3 4 >  Last ›


Directory Spotlight





The DI Wire's Email Alerts