Displaying 24 results
LPL adds long-time Advisor Group advisor with $220 million
Michelle Brennan Hall had been registered at FSC Securities since 1989.
Advisor Group makes rebranding campaign official
A new name is forthcoming, and the firm's eight independent broker-dealers will be merged under that new name in 18 months.
Finra smacks Advisor Group with $1.3 million penalty over private placement sales
The four Advisor Group firms sold investors GPB private placements but failed to tell them that GPB hadn't made required filings, including audited financial statements.
Indie managing $400 million switches to Avantax from FSC
San Diego-based ATS Advanced Trustee Strategies specializes in advanced estate planning.
FSC reps managing $230 million switch to LPL
The four-adviser team, HPK Provident Advisors, is based in Bridgeville, Pennsylvania, and Sarasota, Florida.
FSC adviser managing $200 million switches to LPL
Joel Drake in Des Moines, Iowa, is affiliating through The Wealth Consulting Group, an office of supervisory jurisdiction.
Indie hybrid managing $240 million switches to LPL from FSC
Four-adviser group in Nashville, Tenn., will use Independent Advisor Alliance as OSJ.
Advisor Group loses another big team, this one with $2.5 billion in assets
Nettuno Group leaves FSC for Cambridge; succession planning was a factor in the move.
Advisor Group loses another big team, this one with $2.5 billion in assets
Nettuno Group leaves FSC for Cambridge; succession planning was a factor in the move.
LPL reels in three teams from Advisor Group broker-dealers
LPL's haul includes two groups from FSC Securities and almost $1.5 billion in client assets.
LPL reels in three teams from Advisor Group broker-dealers
LPL's haul includes two groups from FSC Securities and almost $1.5 billion in client assets.
FSC Securities facing arbitration claim over REIT and VA sales
Investors allege that brokers used lump sum retirement payouts to buy high-commission products
Advisor Group rolls out cybersecurity program for broker-dealers
Insurance, data-backup, auditing and monitoring are among the components of CyberGuard
Hybrid adviser managing $140 million switches affiliation from FSC to LPL
Six-person Michigan Retirement Advisors is based in Bloomfield Hills.
Informed Investing
Advisor and Investor Perspectives on Risk, Returns, and Investment Management
Ameriprise Financial signs on $444 million team from FSC Securities
Dale Cebert, a former Morgan Stanley broker who won an arbitration case against the firm, heads the seven-person team in Florida.
Advisor Group B-Ds recruited 614 advisers last year
Parent of FSC, Royal Alliance, SagePoint and Woodbury added $13 billion in AUA.
Indie administering $300 million goes from SII to FSC
Ferrigno Financial is based in Washingtonville, N.Y.
Advisor Group broker-dealer gets new CEO
Derek Burke replacing Jerry Murphy as president of firm.
National Planning loses $420 million indie to FSC
Financial Independence in Bloomfield Hills, Mich., manages retirement plans.
- 1
- 2
