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The deal with the family-run independent insurance firm followed record sales in fixed-index annuities.
September 11
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The SEC says the 33% owner of the parent of the IBD network participated in unlawful microcap stock sales resulting in “virtually worthless” investments.
September 10
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The IBD network is following its rivals in launching a centralized program on succession planning and acquisitions.
August 16
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Clashes over the Labor Department's fiduciary rule have carried over into the debate on the SEC's proposed regulation.
August 14
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The IBD network disclosed the renewal of its clearing agreement, along with three firms’ intention to self-report possible mutual fund violations to the SEC.
August 8
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Securities America and Atria Wealth Solutions hired recruiting and operational heads from Ameriprise and Cetera.
June 20
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Although the industry reflects stark disparities, these firms are leading their peers in the hiring of female registered representatives.
June 11
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At least six RIAs have left since the No. 1 IBD announced a change in policies last November.
May 31
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The network brought together three dozen advisors with 20 tech vendors as it seeks their input on potential partnerships and acquisitions.
May 29
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Clients thought they were investing in real estate developments that would be flipped for profit.
May 10
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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.”
April 26 -
The Justice Department disclosed a felony probe the day before the broker’s termination.
April 6
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IBDs and regional firms are making the biggest changes, but RIAs have room for growth as well.
April 2
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A directive on ETFs took the advisor by surprise after several years with the No. 29 IBD, he says.
March 21
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ACG Wealth’s affiliated IBD has also added teams from LPL and Merrill Lynch. Its CEO says the firm is just getting started.
March 12
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Two Securities Service Network advisors have purchased 15 firms over a decade, and they plan to buy several more this year.
March 8
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The No. 9 IBD has emerged as one of the major players in a tough recruiting fight after the massive acquisition.
March 7
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The firm is tapping a pool estimated by LPL to be as large as 1,200 brokers with $35 billion in client assets.
February 14
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Cetera, Advisor Group and Securities America are unveiling upgrades they hope will help advisors save time while growing their businesses.
February 12
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Executives from Pershing and Fidelity say smaller firms can find a home in the hybrid space.
February 5
