SEC Releases Investor Testing Report on Proposed Form CRS Relationship Summary

November 8, 2018

LPL Financial Adds Former Cetera Team to IBD and RIA Platform

November 8, 2018

Mercer Advisors Acquires Beacon Wealth Management

November 7, 2018

SEC Charges Former Next Financial Adviser with $3.9 Million Fraud

November 5, 2018

Former LPL Broker Sentenced to 20 Years for Stealing $1.8 Million from Clients

November 2, 2018

HD Vest CEO to Resign in Two Weeks

November 2, 2018

LPL Recruits $800 Million Team from Signator

November 1, 2018

FINRA Fines LPL Nearly $2.8 Million for Complaint Reporting Violations and AML Program Failures

October 31, 2018

SEC Investor Advisory Committee to Hold Public Call on Regulation Best Interest and Form CRS

October 30, 2018

NASAA: Enforcement Actions Skyrocket for RIAs in 2017

October 29, 2018

LPL Adds Former Cetera Hybrid to Platform

October 26, 2018

LPL Recruits $500 Million Team Formerly with Cadaret Grant

October 24, 2018

DOL to Introduce Fiduciary Rule in September 2019

October 23, 2018

LPL Recruits $520 Million Firm from Cambridge

October 22, 2018

LPL Financial Adds $180 Million Team from Cetera

October 18, 2018

Cetera Forms New Board of Directors

October 12, 2018

LPL Financial Recruits Former First Allied Firm

October 12, 2018

Cetera Financial Launches Advisor Alignment Program

October 8, 2018

Atria Wealth Solutions Acquires Cadaret Grant

October 5, 2018

LPL Financial Adds $220 Million Team from Waddell & Reed

October 4, 2018