WestPark Capital's information in the sale of $3.9 million worth of promissory notes was faulty, according to the regulator.
Clearview Wealth Partners is led by managing partners and co-founders Bill Roland and Jim Westermeyer. The team is aligned with The Financial Services Network, an existing LPL large enterprise.
Advisor Group last week lost a star financial adviser, Kevin Myeroff. That's always a delicate time for a broker-dealer network.
Kestra Financial added advisers with $2.3 billion in assets under management during the third quarter, while Cetera Financial Group recruited advisers with $2.4 billion in assets.
When advisers are looking for growth, they should embrace those 'touchy-feely' conversations some may not value, say panelists at the Women Adviser Summit.
Financial advisers typically don't receive end-of-the-year bonuses. But that doesn't mean others in the broader financial services industry won't see a bumper year.
Winget Benton Wealth Management is comprised of advisers Al Winget, Rob Benton and Andrew Robson. The advisers are moving to LPL's recently launched employee adviser channel.
Finra said at the start of the year it was looking into possible violations by registered representatives who applied for coronavirus-relief loans.
The alternative investments platform has funded more than $2.4 billion in investments across a range of asset classes since its founding in 2015.
The terms of Nexo's deal for a stake in Texture Capital Holdings were not disclosed.
