Carson Group Acquires $1B AUM Carson Wealth Chicago

January 23, 2025

Report: Succession Plans Loom Large in Adviser Practices

January 22, 2025

Concorde Investment Services Names Ex-Arkadios Capital Director as COO

January 21, 2025

Texas, Montana Lead 14 States in $17M Settlement With Edward Jones for Supervisory Failures

January 20, 2025

Carson Group Brings on $411 Million California-Based Financial Adviser Pair

January 16, 2025

Advisor360° Acquires Generative Artificial Intelligence Provider Parrot AI

January 16, 2025

Kestra Financial Names Head of Wealth Management as Next President

January 13, 2025

FINRA Sanctions Newbridge Securities Again, This Time for Margin Practices

January 13, 2025

Coldstream Combines With Seattle-Based Accounting Firm and RIA to Exceed $11B AUA

January 12, 2025

FINRA Fines CIM Securities $70,000 for Multiple Securities Violations

January 9, 2025

Sanctuary Wealth Recruits $700M International Firm, Formerly With Truist

January 9, 2025

Stratos-Affiliated RIA Reorganizes to 100% Employee-Owned Model

January 8, 2025

FINRA Fines Frazer Lanier $125K for Political Contribution Violations

January 8, 2025

Peachtree Group Names Industry Veteran as SVP of National Accounts

January 7, 2025

Carson Group Expands Partnership With Cedar Rapids, Las Vegas Offices

January 7, 2025

Linsco by LPL Financial Adds Adviser Serving $280 Million in Assets

January 6, 2025

Cetera Networking Agreement to Bolster New England Credit Union Investor Program

January 5, 2025

FINRA Fines UBS $1.1 Million for Trade Confirmation Rules Violations

January 1, 2025

Barclays Capital Fined $1 Million for Net Capital Rules Violations

January 1, 2025

No Free Lunch: FINRA Fines Broker for Improper Meal Expenses

December 30, 2024