Frank Smith, an LPL veteran who's the firm's current president, will succeed Moore as chief executive in mid-January.
Atlanta-based Kalos Capital has been crushed by more than $9 million in legal fees and costs related to sales of GPB private placements.
The Department of Labor may not be inclined to change a proposal that would potentially upend the business model for independent broker-dealers and insurance agents.
Over two decades, Vania May Bell and her father Hector May 'ruthlessly orchestrated' a multimillion-dollar Ponzi scheme, according to the Feds.
Williams, who will continue as chief operating officer, assumes the presidency from David Stringer.
The alleged killer, Keith Todd Ashley, tried to make his client's death look like a suicide.
The bookkeeping service, which aims to boost advisers' efficiency and productivity, follows LPL's offering earlier this year of a paraplanner service.
Benjamin Link and Steve Sexton, who are forming Vero Wealth Management in Greensboro, are the 25th team to join LPL’s Linsco platform.
The deal for NPB Financial Group in Burbank is the latest in a modest string of broker-dealer acquisitions occurring against the backdrop of the red-hot M&A market for RIAs.
Six long-time Merrill advisers in Oakland, California, and Savannah, Georgia, switch to LPL's employee unit, Linsco.
Anthony Mona and Joseph Mansoor make the switch in Birmingham, Michigan, through OSJ Spartan Wealth Management.
In the newly created position, Michelle Kelley will lead the firm’s legal department and provide counsel on cybersecurity and privacy laws.
The assets of the People’s United Bank's retail brokerage and advisory business are joining those of its new parent, M&T Bank, at LPL.
Nicholas Troiano and Mathew Mattice join the firm's employee unit in Colorado.
Brian Falconer and 16 reps operate as Wealth Management Resource Group in Braintree, Massachusetts.
Private equity investors have flooded the wealth management industry; now, it's a hedge fund's turn.
The S&P 500 was down almost 21% over the first six months of the year, but financial advisers at big firms didn't crash and burn.
Strategic Financial Solutions has seven advisers and is based in Cedar Rapids, Iowa.
Colleen Bell, Jeff Vivacqua and Seth Miller become presidents of their respective divisions as part of a new organizational structure.
Volatile markets may be holding recruiting activity back from its breakneck pre-pandemic pace but mergers and acquisitions have more than rebounded from the 2020 low.
