Financial Planning

Advisors affiliated with broker-dealers most likely to leave

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 ...
WealthManagement.com

[Exclusive Research] The Key Factors That Drive Financial Professionals to Change Their Broker/Dealer

Explore the full scope of the survey results, download the report. Sponsored by Kestra Financial Read the findings of our latest study, sponsored by Kestra Financial, that asked financial ...

Top 5 EB-5 Broker-Dealers recognized by EB5 Investors Magazine: Vivek Tandon Named Among Honorees

EB5 Investors Magazine selected Vivek Tandon among the Top 5 Broker-Dealers for 2025, based on industry standing and due diligence practices. The award appears in the magazine’s latest edition, ...
Nasdaq

LPL Financial: Argosy Financial joins broker-dealer, RIA, custodial platforms

LPL Financial (LPLA) announced that financial advisor James Norris of Argosy Financial has joined LPL Financial’s broker-dealer, RIA and custodial platforms. He reported serving approximately $250 ...
Financial Planning

How switching broker-dealers led to a tech rethink: Show Me Your Stack

Welcome to "Show Me Your Stack," a series from Financial Planning in which we interview those who deliver financial advice to learn what tools they rely on to make it happen. Rising client ...
Seeking Alpha

Centaurus Financial Again Ranks in Top 20 of Independent Broker/Dealers in U.S.

ANAHEIM, Calif., June 5, 2025 /PRNewswire/ -- Centaurus Financial, Inc. ranks No. 17 among independent broker/dealers in Financial Advisors' list of the top 40 in the United States. Centaurus has ...
JD Supra

Broker-Dealer Liability Risks in Elder Financial Exploitation Cases

Despite limited regulatory requirements to intervene, broker-dealers face exposure to discipline and liability claims when elderly clients fall victim to financial exploitation. In an environment of ...
InvestmentNews

Cetera Financial strikes again, snagging B-D with 2,000 advisers

Cetera Financial Group continues to build its broker-dealer network, this time with plans to acquire an independent broker-dealer that focuses on tax and accounting. Cetera Financial said last Monday ...
Morningstar

AstraBit Becomes a U.S. Broker-Dealer, One of the First Digital-Asset Firms to Be Granted FINRA Membership

The milestone underscores AstraBit’s commitment to aligning innovation with accountability in a maturing financial ecosystem. AstraBit today announced that it has been granted membership by the ...
Nasdaq

LPL Financial: Frontline Investment Advisors joins LPL’s broker-dealer

LPL Financial (LPLA) announced that financial advisors Amanda Miller, Devin Richard and Jonathan Vila, CRPC(R), of Frontline Investment Advisors have joined LPL Financial’s broker-dealer, aligned with ...

Understanding the Qualified Special Representative Agreement (QSR)

The Qualified Special Representative Agreement (QSR) lets broker-dealers clear trades directly with the NSCC, bypassing Nasdaq ACT, for simpler and cost-effective processing.