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          • Lars Olson of Sanctuary Wealth Partners in Marion, OHSanctuary Hires $435-Mln Merrill Team, Snowden Lures Another from Retirement
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Advisor Group

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

Advisor Moves
Advisor Group, LPL

35-Year Wells Broker Goes Indie, Lifetime Penn Mutual OSJ Takes $980-Mln Team to Advisor Group

11/3/20 | News | 4 Comments

LPL-affiliated OSJ adds $1.65-mln family trio in W. Va./Fla. from Wells’ employee channel, Washington State OSJ abandons two-decade affiliation with Penn Mutual unit for Royal Alliance.

Read More

Panama City Florida
Advisor Group, LPL, Merrill Lynch, Wells Fargo

Florida Fliers: Wells Nabs Merrill Producer, LPL Hires Ladenburg Exiles

7/23/20 | Advisor Moves, News | 3 Comments

Merrill solo practitioner with $120 million book joins Wells in Panhandle resort town while Advisor Group pair with $160 million in southwest Florida changes affiliation to LPL.

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Steward Partners Plaza Advisor Group
Advisor Group, Raymond James, Steward Partners

Steward Signs $6 Million Indie Team, Largest Since Its Founding

6/15/20 | Advisor Moves, News | 2 Comments

Steward, which has recruited primarily from wirehouses, lures independent brokers from Advisor Group to its new “affiliate channel” with an alternate payout plan.

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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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cetera-cuts-recruiting-operations-execs-amid-pandemic
Advisor Group, Cetera, LPL

Cetera Cuts Recruiting, Operations Execs Amid Pandemic

4/23/20 | News | 3 Comments

Cetera Financial Group, the 8,000-advisor independent broker whose credit outlook was downgraded recently, has cut several senior managers in recent weeks amid a broad “organizational realignment.”

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Lpl-Hires-Oregon-Pair-With-Combined-330-Million-Aum-From-Advisor-Group
Advisor Group, LPL

LPL Hires Oregon Pair with Combined $330 Million AUM from Advisor Group

1/28/20 | News | 3 Comments

Advisors will continue to operate autonomous practices in the near term, but say succession planning support from LPL was key to their affiliation change.

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Independent Firm to Pay $400,000 for Failing to Catch Brokers Who Stole Millions
Advisor Group, FINRA, Royal Alliance Associates

Independent Firm to Pay $400,000 for Failing to Catch Brokers Who Stole Millions

1/17/20 | News

Finra fines and censures Royal Alliance, an Advisor Group firm, for supervisory flaws involving two now-imprisoned brokers.

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Advisor-Group-Primes-Ladenburg-Brokers-With-Post-Merger-Partnership-Offer
Advisor Group, Ladenburg

Advisor Group Primes Ladenburg Brokers with Post-Merger Partnership Offer

1/8/20 | News

The parent of Advisor Group is offering qualifying brokers at Ladenburg Thalmann the chance to become limited partners in a new parent company, with minimum investments of $75,000.

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Former-Ladenburg-Chair-Frost-Sues-To-Halt-Advisor-Group-Merger
Advisor Group, Ladenburg, SEC

Former Ladenburg Chair Frost Sues to Halt Advisor Group Merger

12/26/19 | News

Phillip Frost seeks to rescind December 2018 deal in which he sold 51 million shares to Ladenburg at $2.50 a share and enjoin its $3.50-per-share merger deal with Advisor Group.

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Shareholders-File-To-Block-Advisor-Groups-Ladenburg-Takeover-772x485
Advisor Group, Ladenburg

Shareholders File to Block Advisor Group’s Ladenburg Takeover

12/13/19 | News

Two separate suits alleging inadequate proxy information on valuation decisions and company financials have been filed.

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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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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

  • RBC Team Seeks Tit-for-Tat Solicitation Halt Against Morgan Stanley

    RBC Team Seeks Tit-for-Tat Solicitation Halt Against Morgan Stanley

    Jan 20, 2021
  • Morgan Stanley Q4 Wealth Revenue Up 24%, Profit Down 4%

    Morgan Stanley Q4 Wealth Revenue Up 24%, Profit Down 4%

    Jan 20, 2021
  • Morgan Stanley Traders Drive Earnings Surge for Best Year

    Morgan Stanley Traders Drive Earnings Surge for Best Year

    Jan 20, 2021
  • Merrill Touts Success of Growth Strategy in Pandemic-Afflicted Year

    Merrill Touts Success of Growth Strategy in Pandemic-Afflicted Year

    Jan 19, 2021
  • UBS Wealth Warns Clients Crypto Prices Can Actually Go to Zero

    UBS Wealth Warns Clients Crypto Prices Can Actually Go to Zero

    Jan 19, 2021

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Our goal is to unlock the challenges to reveal the opportunities and what it means to provide advice in the 21st century.
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A financial literacy and commentary show that features a number of investors, financial experts, professional athletes, business owners and more.
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