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The largest firms’ combined VA and FA revenues hit a three-year low in 2017, but the products still make up a significant portion of their businesses.
August 3
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Blucora CEO John Clendening says the cuts to head count should taper off by next year, when the firm will have dropped as many as 1,000 reps in 16 months.
August 1
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The barred onetime Questar Capital and Woodbury Financial rep had pleaded guilty to the scam, which he says stemmed from a gambling addiction.
August 1
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The firm remains in transformational flux, but the results of its "Project E" evolution are beginning to show.
August 1
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The No. 1 IBD adapted Riskalyze to its still-evolving ClientWorks portal and added Black Diamond to its discounted vendor program.
July 30
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The regulator accused the four firms and the Advisor Group network of supervisory failures in sales of L-share VAs in separate but near-identical cases.
July 30
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Dan Arnold says the firm remains interested if deals are a match for the No. 1 IBD.
July 27
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At least 17 individuals invested $13 million in the scheme, and many lost 'substantial portions' of their life savings, prosecutors say.
July 26
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The firm achieved a record 7,719 independent and employee advisors in the second quarter.
July 26
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Wealth Enhancement Group would grow to nearly 70 advisors nationwide under its second major purchase of the year.
July 25
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The funds allegedly paid for summer camp fees and a 1976 Corvette.
July 25
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The firm will move over to Salesforce’s CRM tool starting next year as part of an effort to boost efficiency with new technology.
July 25
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When do promotional materials rise to the level of an official “recommendation” and thereby require additional disclosures by brokers?
July 23 -
The firms with the highest percentage growth year-over-year are cutting their head counts and fueling the record level of M&A deals.
July 23
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Ron Carson’s firm and other major practices within the IBD network praise its choice of a new PE backer.
July 20
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Here’s what the two seemingly contradictory trends mean for advisors.
July 17
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The owner of RIA aggregator Mercer Advisors has pledged to maintain the IBD network’s current structure under the deal.
July 17 -
Kestra grabbed a practice from the No. 1 IBD, but it gained another one while preparing for a top executive’s departure.
July 16
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The practice has spent 22 years with the No. 1 IBD, but it will be at least the eighth practice of its type to leave amid changes to the firm’s policies.
July 13
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The firm's two new hires are the latest in aggressive recruiting efforts and joined from rivals RBC and Wells Fargo.
July 11
