The sale of the company's UK and Asian business to a privately owned UK media company is expected to close in January.
The regulator says the firm failed to supervise one of its affiliated brokers whose outside dealings cost LPL customers more than $650,000.
Steve Doucette and Collin Habig form Doucette Capital in Plainville, Massachusetts.
Ryan McCormack of Invesco sits down with InvestmentNews anchor Gregg Greenberg to discuss ETF innovations including Invesco's new QQQS fund, as well as ETF strategies for investors heading into 2023.
Justin Burgin of Ameriprise Financial sits down with InvestmentNews anchor Gregg Greenberg to offer his forecast for stocks heading into the new year, as well as his outlook on earnings, economics and the Federal Reserve in 2023.
San Jose-based Hayes Financial will become the firm’s 11th office in the state.
Menninger & Associates Financial Planning, based in Norristown, Pennsylvania, will use the firm’s broker-dealer, RIA and custodial platforms.
Entire team at Atlanta-based Resource Planning Group will make the move to Mercer Advisors.
Just 4% of the 3,204 candidates took the test remotely. Registration for the March exam is open until Feb. 21.
Miami-based Diagonal Investment Office will be led by sector veterans Rodolfo 'Rudy' Rake and Santiago Rey.
