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 ...

PFG, a Phoenix-based firm with nearly $5 billion in assets under administration, today announced its transition from Osaic to United Planners Financial Services (“United Planners”) as the ...

Alpaca, self-clearing broker-dealer and a global leader in brokerage infrastructure APIs, today announced its intention to acquire Zincmoney IFSC Private Limited ("Zincmoney"), a broker-dealer ...

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 ...

Giant branch offices, or those with billions in client assets, have been splitting away from their broker-dealers for years. Just remember the commotion Ron Carson caused in 2016 when it became known ...

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

From September 5 onwards through Friday, Raymond James, through its independent broker-dealer Raymond James Financial Services Inc., has recruited at least nine teams of financial advisors who were ...

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 ...