Industry

The deal adds a turnkey branch offering to Atria’s network of broker/dealers.

One advisory firm is already seeing the efficiencies that come from the agreement between fee-payment-processing firm AdvicePay and LPL.

Concurrent acquired Eddy Augsten’s WealthEngage to lead its advisor force in investment and practice management.

Initially, most enforcement actions will pertain to infractions the agency would have pursued under the suitability standards regardless, according to FINRA's head of enforcement.

Tax-focused advisory Rozovics Group was previously with Cetera Financial Specialists for 17 years.

Missing life on the conference circuit? A review of a major Microsoft event that went forward during the pandemic could spell out what to expect in the coming months.

Seven Group says it’s enabling advisors to market on their own.

With some exceptions, Reg BI scrutiny will be included in broader firm examinations rather than a sole focus of inquiry, according to one FINRA representative.

A team out of Marlton, N.J., will launch Claritas Financial Partners under LPL's new affiliation model aimed at employee advisors.