Gwen Weithaus will join as chief compliance officer for one of Cetera’s network of four independent firms and will report to Cetera Chief Risk Officer Joseph Neary.
The number of registered firms hit an all-time high of 15,396, according to an annual snapshot co-created by the Investment Adviser Association and COMPLY.
The Brown-Brinkley Group includes two managing directors with nearly six decades of collective industry experience. They will operate out of RBC’s office in Tysons, Virginia.
James McDonald was taken into custody in Port Orchard, Wash. and will face federal charges in Los Angeles. He is accused of losing millions in client funds and fled an SEC subpoena in 2021.
California-based duo Tim Woodall and Dustin Raring are the latest team from the collapsed bank to leave its acquirer. They are joining LPL through its affiliation model for employee advisors.
Apollo Global’s David Lang will join as Focus’ chief operating officer, while Connectus Wealth Advisers CEO Molly Bennard will direct the firm's international growth strategy.
Dawn Nordberg will lead a new program to strengthen ties between Citi's banking and wealth divisions, among other responsibilities, according to Andy Sieg.