The two broker-dealer firms have expanded in Kansas and Georgia as they recruit defectors from Osaic and Edward Jones.

LPL Financial LLC announced today that eight financial advisors with Horizon Capital Advisors have joined LPL Financial’s broker-dealer, Registered Investment Advisor (RIA) and custodial platforms.

LPL Financial (LPLA) announced that eight financial advisors with Horizon Capital Advisors have joined LPL Financial’s broker-dealer, ...

The firm's new chief legal officer brings nearly three decades of experience, including tenures at Credit Suisse and UBS.

David Burton, the senior fellow in economic policy at the Heritage Foundation who authored Project 2025’s section on securities regulation, says Finra’s oversight of the broker-dealer industry is ...

The deal will fuel industry consolidation and add roughly 2,900 independent advisors managing some $285 billion in assets to ...

A new sales director has been appointed at a Basingstoke company to strengthen broker relationships. Asset Advantage has ...

LPL Financial, the nation's largest independent broker-dealer, is reportedly acquiring Commonwealth Financial Network, an elite Waltham, Mass.-based RIA/broker-dealer with more than $300 billion in ...

Jump and Zocks have both recently collaborated with independent broker-dealer Osaic and seen growth in their user bases.

("Osaic"), one of the nation's largest providers of wealth management solutions, today announced that Ever Wealth, an Auburn, Indiana-based advisory firm with more than $170 million in client assets, ...

Prior to accepting U.S. traders, forex brokers are required to obtain registration as Retail Foreign Exchange Dealers (RFED) from the Commodity Futures Trading Commission (CFTC) and be regulated ...