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Commission prioritizes retail investors as OCIE issues its must-read compliance letter.
February 8
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Robert Moore’s view sets him apart from other executives who argue that new talent will replace low producers.
February 7
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A disaffiliation fee of $4,500 applies to advisors leaving the IBD, but the policy could change.
February 6
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Pole-vaulting advisor Mark Cortazzo’s practice marked at least the second hybrid in three months to leave the firm for Mutual Securities.
February 6
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L&N Federal Credit Union was looking for a boutique-style firm following Invest's acquisition by LPL.
February 5
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Executives from Pershing and Fidelity say smaller firms can find a home in the hybrid space.
February 5
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More than $34 billion in client assets moved into the No. 1 IBD’s fold in the first part of the acquisition.
February 2
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Headcount dropped by 413 brokers year-over-year, but productivity per FA jumped by 29%.
February 1
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Securities Service Network is entering a space usually regarded in the industry as the specialty of HD Vest and 1st Global.
January 31
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The four-member group previously generated about $2.5 million in annual revenue.
January 31
