The SEC Division of Trading and Markets recently issued significant no-action relief permitting registered representative–owned personal ...

The anticipated sale of the ING broker/dealer network was made official early this morning as the struggling Dutch parent company shed the three independent firms to a private equity firm for an ...

LPL Financial LLC has announced the addition of financial advisor Michael Carmichael, RFC®, CRPS®, founder of Carmichael Financial, to its broker-dealer and RIA platforms. With approximately $190 ...

LPL Financial (LPLA) announced that financial advisors Amanda Miller, Devin Richard and Jonathan Vila, CRPC(R), of Frontline Investment Advisors have joined LPL Financial’s broker-dealer, aligned with ...

A large and important segment of the securities brokerage industry is composed of broker-dealers that classify their ...

Chuck Failla, of Sovereign Financial Group, has built a reputation for his critical stance on the broker-dealer model. A staunch advocate of the Registered Investment Advisor (RIA) approach, he ...

In the future, will people have relationships with their financial advisors or with the advisors’ broker-dealers, custodians and other affiliated businesses? It’s an uncomfortable question. Clients ...

With Cetera Holdings potentially eyeing an initial public offering and stock listing in the next five years, the giant network of at least five broker-dealers, 12,000 financial professionals, and ...

Financial advisors affiliated with a broker-dealer are far more likely than other advisors to say they will definitely leave their firm this year. That was among the findings in this month's Financial ...

The Evolution of the Broker-Dealer Landscape: How ... The Evolution of the Broker-Dealer Landscape: How Has This Space Evolved? The Evolution of the Offering: What Tools Are You Bringing to Bear for ...

NEW YORK--(BUSINESS WIRE)--ACA Group (ACA), the leading provider of governance, risk, and compliance (GRC) solutions to clients in the financial services industry, today announced it has acquired ...

This content is provided by an external author without editing by Finextra. It expresses the views and opinions of the author. With ACA’s acquisition of FINOP Consulting, led by longtime industry ...