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The basic yet revealing query shows why it’s not just about FINRA registration as a BD and 1099 contractor status for advisors.
June 30
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For the first time, the ranks of the top 25 firms according to their annual business include single entries for IBD networks.
June 30
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This interactive tool provides the full collection of data from Financial Planning's 35th annual study of the largest firms in the space.
June 30
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LPL has reeled in about half of the reps changing their BDs so far this year, but the full RIA channel is also reaping big gains. Plus, other news in the indie space.
June 24
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SagePoint Financial failed to adequately supervise reps who recommended that clients exchange the products before maturity, the regulator says.
June 16
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The insurer-owned IBD identifies leaders in target markets as it offers independence “with a hug,” according to its head of recruiting.
June 11
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Hailing from Merrill Lynch, Edward Jones and Waddell & Reed, the advisors join as both employees and independents
June 10
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The newly independent advisor oversaw $92 million in client assets.
June 10
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More than 300 reps have switched BDs so far this year, with LPL and Cambridge Investment Research completing the two largest grabs.
May 27
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LPL advisor Kashif Ahmed tweeted his condition from the emergency room then focused on recovering, knowing his firm could run without him.
May 27
