LPL Financial

Firms’ head counts show how they’re responding to a challenging time in which experts predict the number of advisors to fall in coming years.

A settlement with Massachusetts regulators resolved a nontraded REIT case, but NPH’s terminations from FINRA and a handful of states are still pending.

The issuing organization is working to expand the number of firms allowing the certified kingdom advisor title to be used in marketing materials.

Stratos Wealth and other OSJs are offering more types of affiliation and equity deals in a bid to stem a competitive threat.

Planners ranging from sole practitioners to the largest OSJ enterprises welcomed the CEO’s comment that the firm's culture was not aligned with its strategy.

The OSJ spans dozens of advisors, and it marks at least the ninth major exit following a change in policies at the No. 1 IBD.

The move by the multi-generational practice stemmed from LPL’s self-clearing capabilities, one of the advisors says.

Robert Russo says the Independent Advisor Alliance has recruited nearly three dozen IFP reps, and other large enterprises have also made inroads.

The ongoing shift away from commissionable products is driving major changes in the space.

Firethorn Wealth Partners gets started with the help of tru Independence.