Tag: Broker/Dealer

LPL Financial LLC, an independent broker/dealer and RIA custodian, added 360 Financial to its custodial and broker/dealer platforms.

An account platform from Gemini Alternative Funds LLC, a subsidiary of Northstar Financial Services Group, provides investment advisers with centralized access to alternative investments.

More than four in 10 (43%) financial advisers are either at or approaching retirement age, according to research from Cerulli Associates.

RCS Capital Corporation (RCAP) will purchase J.P. Turner & Company LLC, an independent broker/dealer and investment banking firm, and its affiliated advisory company for $27 million in aggregate...

In a move expected to create one of the largest broker/dealer networks in existence, RCS Capital Corporation (RCAP) is set to acquire Cetera Financial Group for $1.15 billion.

An updated mobile application from LPL Financial LLC provides better access to financial and market data, along with a new secure messaging system for communicating with clients.

The Office of Compliance Inspections and Examinations (OCIE), part of the Securities and Exchange Commission (SEC), released its list of examination priorities for 2014.

KCG Holdings Inc. has completed the consolidation and renaming of its U.S. broker/dealer operations into KCG Americas LLC.

Research from Cerulli Associates shows the registered investment adviser (RIA) channel growing at a much stronger rate than all other advisory business models.

The firm added its line of Northern Focused Portfolios (NFP) to the FDx Advisors Unified Overlay Management Program platform, run by FDx Advisors.

An enhanced version of BrokerCheck by the Financial Industry Regulatory Authority (FINRA) gives investors quicker access to investment professionals’ reportable events.

Regulatory changes and expectations of increased competition are redefining registered investment adviser (RIA) practices around the U.S.

Householder Group, a network of 40 independent hybrid advisory practices, joined LPL Financial’s suite of broker/dealer and registered investment adviser (RIA) custodial platforms.

The House voted Tuesday to pass the Retail Investor Protection Act, which would delay any fiduciary updates issued by the Department of Labor (DOL) or the Securities and...

ING Financial Partners (IFP), a registered broker/dealer and one of ING U.S.’s component companies, named Thomas Halloran as the firm’s president, effective November 18.

A report from the Financial Industry Regulatory Authority (FINRA) scrutinizes  conflicts of interest in the broker/dealer industry to highlight effective practices to eradicate such conflicts.

 Motivating someone to plan for an event that is years or even decades away is difficult.

Independent financial advisers Romaine Macomb and Theresa Donatelli joined independent adviser group office Northstar Wealth Partners (NSWP) alongside Ellie Kasimir, who will continue as the pair’s retirement plan...

Insurance and investment services provider Pacific Life unveiled a new strategy to educate financial advisers on opportunities and best practices for winning clients in the small to medium-sized...

VisionPoint Advisory Group joined LPL Financial’s suite of broker/dealer and hybrid registered investment adviser (RIA) platforms to support its commission and private client fee-based business.