Sam Cone, Jessica McNamee and Grace Yung are joining the group, whose members have diverse backgrounds and specialties.
Two advisers from Truist and a trio from Merrill Lynch are moving to the firm's employee channel.
Over four years, the New York-based broker-dealer failed to identify trading that was potentially excessive and unsuitable in hundreds of customer accounts, according to Finra.
Francine Payson and Tarek Salhab are joining the firm's employee unit in Fort Myers, Florida.
Scott Howell will open an office in Summit, New Jersey.
Ohio-based River Cities Financial Services is led by Michael Anthony.
Since 2020, LPL has signed three major agreements to provide retail brokerage and advisory services to banks and credit unions.
David Winchell is setting up his own firm, Winchell Financial Group, in Las Vegas.
The Pittsburgh-based financial firm specializes in securities-based loans.
The father-and-son Riolo Financial Group is based in New City, New York.
The IBD is offering a multiple-employer aggregate program that affiliates can use with small businesses and start-up plans.
The broker-dealer cut ties with Eileen Cure in the wake of allegations of racism on social media. She is now part of a small RIA, Wealth Management of Kentucky.
Guy Rodgers Private Wealth Strategies is based in Mansfield, Texas.
The financial adviser Douglas Chin has affiliated with the independent broker-dealer through Gladstone Wealth Partners in Red Bank, New Jersey
Lindsey Rhea’s firm, Alia Wealth Partners, is based in Germantown, Tennessee.
Eric Cornell and Patrick Shea have formed their own firm, Helius Wealth, in Palm Beach Gardens, Florida.
Sean Khaligh, who joined Wells in 2007, is affiliating with LPL through The Financial Services Network and has formed EQ Private Wealth Advisors in Palos Verdes, California.
Last year, the SEC charged the unregistered adviser at the heart of the matter with defrauding a town in Puerto Rico and misappropriating $7.1 million.
Veteran advisers in Oklahoma and Utah affiliate with Cetera through Texas-based Farpointe Wealth Partners.
Polaris is headed by partners Corey Basehore and Justin Dunwoody and includes adviser Sarah Leer, two junior advisers and a nine-member office staff.
