The deal represents a continuation of Stratos' acquisition strategy, which is to take nonvoting minority interests in RIAs and offer them the same infrastructure that's available to its affiliated advisors.

The state joins more than a dozen others that have finalized rules based off the model created and passed last year by the National Association of Insurance Commissioners.

Advisor Larry Boggs has launched his new firm with LPL Financial’s Strategic Wealth Services.

According to the commission, Ramiro Jose Sugranes ran a scheme to siphon profitable trades into accounts held by close relatives, with unprofitable trades left to other clients, leading to more than $5 million in losses.

Younger generations are open to added advice-related and even unrelated services.

The mergers, acquisitions and advisor moves you may have missed the week of June 14 to 18, 2021.

Lighthouse Wealth Management brings WEG eight financial advisors and $446 million in client assets.

SEC says California-based Robert Joseph Armijo personally made over $1 million in commissions by selling unregistered 'distressed market' real estate funds in what regulators say was a Ponzi-like scam.

The training released by the SEC, FINRA and NASAA is intended to help firms and financial services professionals comply with the 2018 Senior Safe Act, and lists a number of 'red flags' that should raise advisors' and brokers’ suspicions.