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The growing practice’s founder dropped his FINRA registration after 14 years with KMS Financial Services.

Pete Dorsey is the latest member of TD Ameritrade’s leadership team to part ways with the company after it was acquired by Charles Schwab.

It’s complicated, but possible, to limit risk and liability when moving a practice.

The IBD unveiled its second major recruiting addition in as many months to kick off the year.

Rae becomes one of the few women leaders in financial services.

The team’s client base primarily consists of business owners, corporate retirement plans, families and individuals and retirees.

A team that has grown through acquisitions dropped the No. 1 IBD after the institution purchased another one for more than $600 million.

Among the new hires is Scott Collins, former head of brokerage independence and institutional sales consulting. He is one of many ex-TD Ameritrade alums seeking new employment after Charles Schwab acquisition’s of the firm.

Kathy Murphy played a key role in scaling the company’s retail advice channel.

The St. Augustine, Florida-based advisors specialize in high-net-worth families, business owners, executives and foundations.

The ex-Morgan Stanley and Merrill Lynch advisors join the wealth manager, which has been aggressively recruiting in recent months.

“The sheriff is coming to the preeminent financial regulator in the world,” said Justin Slaughter, a consultant at Mercury Strategies. “It means regulation and enforcement are about to get much tougher.”

Two former FINRA employees are joining the fast-growing brokerage app.

Nearly three decades after launching their practice, the two founders say they’re looking forward to spending more time with clients.

The firm is the latest in a line of big money managers making a late entry into the $5.6 trillion ETF market.

Advisors may sometimes overlook clients with special needs, despite the size of the community and available tools like ABLE Accounts.

If confirmed by the Senate, the former CFTC chairman would be the new administration’s front-line regulator for Wall Street.

Whitnell & Co. changed hands in a deal with a regional bank that also struck a strategic partnership with the wealth manager.

Firms will up their tech investments and continue rewards and punishments designed to shape advisor behavior, says recruiter Mark Elzweig.

The firm credited keeping its offices open during COVID-19 as a major selling point as FAs industrywide kept making moves and repapering their clients.