Securities America

The misconduct is so pervasive that the regulator is temporarily allowing violators to come forward.

The Justice Department disclosed a felony probe the day before the broker’s termination.

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

The No. 9 IBD has emerged as one of the major players in a tough recruiting fight after the massive acquisition.

First Federal Savings Bank of Champaign-Urbana moved its investment services business to LaSalle St. Securities in a bid to deepen relationships with the back-office staff supporting the business.

The firm is tapping a pool estimated by LPL to be as large as 1,200 brokers with $35 billion in client assets.

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

Executives from Pershing and Fidelity say smaller firms can find a home in the hybrid space.

Advisor Group set a record for its recruiting in 2017, and Securities America announced more than a dozen fourth-quarter grabs.

Compliance and technology hurdles have snarled firms’ efforts to address a longtime gripe.

LPL's acquisition of National Planning Holdings' assets alone resulted in 10 moves of $744 million or more of clients assets.

Lagging rival broker dealers, the firm recruited the president of RIA firm Priority Financial Group to lead the financial institutions division.

At least 274 advisors with $11.5 billion in client assets have left the fold since the acquisition.

The practice’s managing director blamed the No. 1 IBD in part for its move to Securities America.

The firm has signed four big recruiting deals in the past three months.

The Arizona-based firm serves as a super OSJ, supporting advisors who work for 13 affiliated credit unions as either employees or independent financial advisors.

The move previews what will be a tough recruiting fight for the IBD giant following its massive buy.

Experts say firms that clear through Pershing have an advantage in the looming recruiting fight.

Securities America adds 10 advisors in the second recent poach by a Ladenburg Thalmann firm.

None of the FP50 are close to equalizing their ranks of men and women.