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          • James Gorman, Chairman and CEO Morgan StanleyMorgan Stanley’s Gorman Tops Dimon as Best-Paid Big Bank CEO
          • Reading financial newsThis Week’s Top Stories: Morgan Stanley Boots Texas Broker, Merrill’s 2020 Growth Numbers and More
          • RIA DealsRIA Deal-making Hits Record Despite Pandemic
          • Advisor MoneyWells Fargo Recoups $2.5 Million from New Jersey Duo
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          • Boca Raton, FloridaRockefeller Lures Two Florida Teams with $9.8 Mln Revenue
          • Morgan Stanley, UBS Advisor movesMorgan Stanley Rehires $3.3-Mln UBS Team in North Carolina
          • Lars Olson of Sanctuary Wealth Partners in Marion, OHSanctuary Hires $435-Mln Merrill Team, Snowden Lures Another from Retirement
          • Stifel Investment CompanyStifel Hires 33-Year Brokerage Vet from Jefferies in Dallas
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          • Advisor MoneyWells Fargo Recoups $2.5 Million from New Jersey Duo
          • Businessman in prison, fraudWells Fargo Claws Back $3 Million from Jailed Ex-Broker
          • Finra signFinra Fines, Supends Ex-Ameriprise Broker Who Flipped ‘A’ Shares
          • Barred from the securities industry.SEC Puts Nail in Ex-Morgan Stanley Broker’s Career Coffin
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Securities America

John Bull, founder of Verus Capital, says he changed broker-dealers so he can offer more flexible RIA affiliation options to partner firms.
11/23/20 | Advisor Moves, News | Advisor Group, LPL, Securities America

LPL Lures Arizona ‘Enterprise’ Team from Securities America

Lincoln, Nebraska-based JFC Financial Services was founded in 1992 by Jack Connealy
Advisor Group, LPL, Securities America

LPL Financial Lures Securities America Firm Said to Oversee $3 Billion

5/4/20 | Advisor Moves, News | 1 Comment

Nebraska-based OSJ said it moved in part over concerns about its former firm’s recent purchase by private equity-controlled Advisor Group.

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Blyth & Associates Financial Services is led by Bill Blyth (first row, left ), who joined LPL from Securities America with his team on March 27.
Ladenburg, LPL, Reverence Capital, Securities America

LPL Lures $350 Million-Asset Team from Securities America After 25 Years at Rival

4/7/20 | Advisor Moves, News

Chicago broker, 68, says he left his longtime broker-dealer out of concern about its parent company’s sale to a private equity firm.

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securities-america-recruits-car-racing-indie-vet-for-new-ohio-firm
Advisor Group, Ladenburg, Securities America

Securities America Recruits Car-Racing Indie Vet for New Ohio Firm

11/27/19 | News

David Pintaric, a Daytona Speedway habitue, hopes to recruit brokers to his new business on the eve of Ladenburg Thalmann’s takeover by Advisor Group.

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Ladenburg-To-Acquire-Advisor-Group-In-1-3-Billion-Deal-772x485
Advisor Group, Ladenburg, Securities America

Advisor Group to Acquire Ladenburg in $1.3 Billion Deal

11/12/19 | News

New company will preserve the nine brokerage brands and multi-clearing model for Ladenburg and Advisor Group’s almost 11,500 independent brokers.

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Fidelity Pursues New York City Broker Who Left for RIA
Fidelity, Securities America

Fidelity Pursues New York City Broker Who Left for RIA

11/26/18 | News

Judge grants order restricting WealthPlan Advisors and new advisor who Fidelity Brokerage accused of illegally soliciting clients before and after resigning.

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Finra Suspends Do-It-Yourself Broker Over Unauthorized E-Mails
Securities America

Finra Suspends Do-It-Yourself Broker Over Unauthorized E-Mails

10/31/18 | News

Independent broker in California who allegedly conducted customer business via personal e-mail for more than four years and created incomplete account performance summaries on Excel is barred and fined.

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Finra
Securities America, PNC, Geneos to Pay $15 Million for Mutual Fund Violations
Securities America

Securities America, PNC, Geneos to Pay $15 Million for Mutual Fund Violations

4/6/18 | News | 1 Comment

The Securities and Exchange Commission cites share-class and failure-to-disclose improprieties, and reminds firms that they can receive favorable settlement terms if they self-report fund sales violations.

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CORONACRASH NEWS

  • Merrill Touts Success of Growth Strategy in Pandemic-Afflicted Year

    Merrill Touts Success of Growth Strategy in Pandemic-Afflicted Year

    Jan 19, 2021
  • Raymond James Slashes CEO Pay 17% in Turbulent Year

    Raymond James Slashes CEO Pay 17% in Turbulent Year

    Jan 8, 2021
  • Solomon Sees Vaccine Bringing Goldman Staff Back by End of Year

    Solomon Sees Vaccine Bringing Goldman Staff Back by End of Year

    Jan 5, 2021
  • J.P. Morgan Bank Broker Cleared of Coronavirus Crash Claim

    J.P. Morgan Bank Broker Cleared of Coronavirus Crash Claim

    Dec 4, 2020
  • Edward Jones Broker Count Up 5%, Firm Pauses Branch Growth

    Edward Jones Broker Count Up 5%, Firm Pauses Branch Growth

    Nov 5, 2020

NEWS

  • Morgan Stanley’s Gorman Tops Dimon as Best-Paid Big Bank CEO

    Morgan Stanley’s Gorman Tops Dimon as Best-Paid Big Bank CEO

    Jan 23, 2021
  • This Week’s Top Stories: Morgan Stanley Boots Texas Broker, Merrill’s 2020 Growth Numbers and More

    This Week’s Top Stories: Morgan Stanley Boots Texas Broker, Merrill’s 2020 Growth Numbers and More

    Jan 23, 2021
  • RIA Deal-making Hits Record Despite Pandemic

    RIA Deal-making Hits Record Despite Pandemic

    Jan 22, 2021
  • Wells Fargo Recoups $2.5 Million from New Jersey Duo

    Wells Fargo Recoups $2.5 Million from New Jersey Duo

    Jan 22, 2021
  • Former Wells Client Associate Files Overtime Class-Action Suit

    Former Wells Client Associate Files Overtime Class-Action Suit

    Jan 22, 2021

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Suzanne Siracuse asks the questions nobody else asks, as influencers and interviewer collide in her new and truly unique podcast series The Big Reveal.
The “new advice value stack,” and how firms can use it to help maximize their own value propositions for their clients.
The Brighthouse Financial Insights Panel is a group of leading, independent experts providing powerful insights into the big challenges facing you and your clients.
Equipping independent financial advisors with the tips, insights, and knowledge needed to evolve in every aspect of his or her life
Powering Independence Podcast, insights and ideas for RIAs, presented by Dynasty Financial Partners. A podcast dedicated to presenting fresh ideas and best practices for the wealth management industry.
As an industry expert, Frank LaRosa provides guidance and advice on a host of topics from recruiting and transitions, succession planning, practice management, M&A and more.
Our goal is to unlock the challenges to reveal the opportunities and what it means to provide advice in the 21st century.
Our webcast is dedicated to helping our viewers get real insights by avoiding the cognitive dissonance of today’s media outlets and biased editorial filters.
Go behind the scenes with registered investment advisors and other related independent business model experts
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In this podcast business owners, entrepreneurs and executives reveal their top tips for success.
We interview top financial advisors and visionary voices to bring you the strategies, tips, and tools you need to make a difference in people’s lives.
A financial literacy and commentary show that features a number of investors, financial experts, professional athletes, business owners and more.
Join Sound Financial Group CEO Paul Adams and President Cory Shepherd every week, as they help you Design and Build a Good Life™.
The Kuderna Podcast, focusing on wealth in it's original meaning- a state of well being.
Timeless wisdom, actionable information you can use right now to make smarter investment decisions.
Made for and dedicated to those folks serious about their financial plan.
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