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News
Duo charged with posing as 49ers player, financial advisor to defraud women of $1.3M
7+ hour, 20+ min ago (380+ words) Federal authorities have arrested two men for defrauding more than two dozen women out of $1.3 million in a romance scheme where one of the men pretended to be an NFL player and the other posed as his financial advisor. According…...
Convicted ex-Morgan Stanley broker ordered to pay firm $8.7 million
10+ hour, 2+ min ago (612+ words) An arbitrator under the aegis of FINRA Dispute Resolution Services this week awarded Morgan Stanley close to $8.7 million to be paid by a former advisor at the firm who was found guilty of two counts of fraud related to a…...
LPL Financial, Raymond James land advisors managing $470M
2+ day, 12+ hour ago (565+ words) Two of the industry's largest independent broker-dealers announced advisor recruitment wins this week, with LPL Financial and Raymond James Financial Services together adding practices overseeing approximately $470 million in client assets. Pat Gilbert and James Gilbert, the father-son duo behind Preferred…...
LPL taps Wells Fargo vet as new chief technology and information officer
3+ day, 13+ hour ago (535+ words) LPL has hired away a seasoned tech executive from Wells Fargo, adding another senior technology leader to a bench it has been steadily refining since 2024 as it touts continuing efforts to enhance its digital and AI infrastructure for advisors. On…...
LPL Financial lands $1.6B Conte Wealth Advisors from Cambridge
3+ day, 16+ hour ago (305+ words) LPL Financial has recruited Conte Wealth Advisors, LLC, a Camp Hill, Pennsylvania-based firm managing approximately $1.6 billion in advisory, brokerage, and retirement plan assets, marking one of the larger team moves to hit the independent broker-dealer space this week. Conte Wealth…...
Both sides lick their wounds as US-Canada trade talks collapse
4+ day, 16+ hour ago (889+ words) Canada and the United States failed to reach a trade agreement late Friday, triggering 50% tariffs on roughly $20 billion worth of Canadian goods and setting the stage for a retaliatory response that economists warn could ripple through cross-border supply chains and…...
Advisor moves: LPL, Raymond James land advisors with $590M in combined assets
1+ week, 18+ hour ago (449+ words) Two teams managing a combined $590 million in client assets have moved to independent broker-dealer platforms, underscoring continued momentum in advisor recruiting at LPL Financial and Raymond James. Firstly, Paul McCutchen and Jarod Wesson, AAMS, have joined LPL Financial from Edward…...
Advisor moves: LPL, Cetera, Raymond James, NewEdge Wealth
1+ week, 2+ day ago (412+ words) A handful of advisor teams shifted affiliations this week, with moves touching LPL Financial, Cetera Financial Group, Raymond James, and NewEdge Wealth. LPL Financial added Chris Stockton, a CEPA-designated advisor who joins from Edward Jones with approximately $160 million in advisory,…...
Advisor moves: Missouri-based LPL team decamps to Osaic in full-circle succession
1+ week, 3+ day ago (593+ words) A Chesterfield, Missouri-based firm previously affiliated with LPL has joined Millenia Investments and affiliated with Osaic, in a move the companies describe as a full-circle succession story. O'Reilly LLC, which oversees approximately $250 million in client assets, is led by Patrick…...
Advisor moves: LPL lands $350M veteran advisor duo in Florida
2+ week, 1+ day ago (467+ words) LPL has announced that Matt Roberts and Kent Voges have joined Frontline Investment Advisors, an LPL Financial-affiliated firm powered by 15 Wealth. Roberts and Voges, who worked together for 24 years, moved their Tampa-based practice from Valic Financial Advisors, now known as…...