Osaic

About 60 advisors have joined the broker-dealer so far this year, with five advisors and two firms coming on this month.

Allianz became the second multinational insurance firm to step away from the IBD space this year under a plan to shutter Questar Capital.

The practice is at least the second this year to jump from the Advisor Group firm to its similarly sized rival.

Larry Roth, who was also head of AIG Advisor Group, is offering up his expertise after helping both firms navigate difficult years as their chief executive.

The regulator accused the four firms and the Advisor Group network of supervisory failures in sales of L-share VAs in separate but near-identical cases.

The practice has grown rapidly, but it now faces a major decision about its IBD plans following the announcement of Advisor Group’s acquisition.

The move to acquire the No. 16 firm from John Hancock reflects the acceleration of industry trends and a potential giant in the making.

Royal Alliance Associates will absorb the firm following the deal, which would push the network’s headcount above 6,800 advisors.

The No. 7 IBD has unveiled five new internal classifications for practices in an effort, it says, to boost the customization of its services for advisors.

The advisor told victims that he would invest their money in Royal Alliance brokerage accounts but instead used the funds to make BMW car payments and pay for personal expenses, prosecutors claimed.

A pen and paper or more advanced methods of documentation can save financial advisors from a variety of troubles.

Allegations of undisclosed private securities transactions by a former advisor followed two significant mutual fund cases involving the IBD network’s practices.

A 41-year industry veteran says his practice was seeking “a new strategic partner to help us take the next step in our firm’s growth.”

The private equity-backed IBD is "very appealing to advisors in that larger independent setting," its top recruiter says.

Jamie Price doesn’t expect the firm's advisors to have any problem with a new standard after taking steps to comply with the more restrictive DOL rule.

The bank’s latest retreat from wealth management will move 51 advisors to the independent space under Woodbury Financial.

Advisor Group firm Woodbury Financial targets the bank brokerage channel.

The Advisor Group IBD added three new teams, but state regulators required enhanced oversight of one new recruit.

IBDs and regional firms are making the biggest changes, but RIAs have room for growth as well.

Cetera, Advisor Group and Securities America are unveiling upgrades they hope will help advisors save time while growing their businesses.