Independent BDs

The two LPL rivals show confidence in their current paths, but they both now have important vacancies to fill.

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 combined amount across the top 10 firms has jumped 37% to $385.3 million over the past three years.

The No. 1 IBD cleared him of any wrongdoing then said he still faced the probe after leaving the firm months later, according to the lawsuit.

Scott Wolas assumed other people’s names to pose as a real estate agent, bartender, retired paleontologist and a registered rep, investigators say.

Experts cite a variety of reasons for the industry’s grim jobs forecast for advisors, but the data reveals much more complexity.

The No. 1 independent broker-dealer has grown beyond the wirehouses, but it added about 100 fewer advisors than expected from its major acquisition.

The former Oppenheimer client was allowed to invest in a new fund started by Carter Worth, a well-respected technical analyst who the client believed “walked on water,” his lawyer claimed.

J.D. Power’s annual survey reveals the importance of leadership and culture, along with differences among male and female representatives.

A FINRA arbitration claim followed an asset freeze and the launch of a federal investigation into the fired advisor’s RIA.

Can an RIA take the first bite of the apple when it comes to a dually registered rep’s brokerage commissions?

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

The No. 1 IBD’s top recruiting executive announced his retirement after the firm disclosed some mixed recent results.

The insurance giant and No. 6 IBD made Alexa Von Tobel its chief innovation officer following the closure of the planning startup it acquired in 2015.

While the demise of the Department of Labor’s regulation will hurt investors, it makes fiduciary advisors even more relevant.

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

Securities America and Atria Wealth Solutions hired recruiting and operational heads from Ameriprise and Cetera.

Community Bank & Trust of Florida switched its program after a 16-year relationship with Invest Financial.

The No. 1 IBD launched an investment offering aimed at the distributed ledger technology its research unit says could disrupt nearly every industry.

Such a move would also coincide with efforts to cut costs in the bank's wealth management business by $600 million by 2020.