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The addition of Prudential Financial and Atria Wealth Solutions helped boost LPL's advisor headcount to a record of nearly 29,000 by the end of last year.
January 30 -
The team of three advisors have started a firm called T6 Wealth Management, which will operate out of Morgan Stanley's new offices in Midtown Manhattan.
January 27 -
New chief executive Tony Miller has served as president of the large regional brokerage firm since 2023.
January 24 -
The regional giant reported $2.2 trillion in client assets last year, despite seeing its net new flows decline.
January 15 -
Regulators have handed down more than $3 billion in penalties over employees' alleged failures to record business-related messages sent on services like WhatsApp.
January 13 -
Two brokers had sought an unspecified amount that they argued they were owed from when they worked at the Wall Street giant before departing for rival firms.
January 13 -
Edward Jones stood accused of not properly supervising advisors who were charging clients commissions for mutual funds and then moving the fund shares over to fee-generating accounts.
January 8 -
The law will increase benefits for millions of retirees, but it's still not clear where the added funds will come from.
January 7 -
Nicholas Takahashi stood accused of taking confidential information when he left for Raymond James last summer. But a federal judge said she saw no convincing evidence of illicit dealings.
January 7 -
The fast-moving RIA aggregator has been undergoing an internal reorganization since 2023 in a bid to consolidate the many firms it has scooped up over the years.
January 6
