The firm has made 11 hires at its new St. Petersburg, Fla., headquarters and hopes to have 40 to 50 new or current employees at the new office within the year.

Luxon Financial partners with Ducera to bring investment banking capabilities to its wealth clients.

Independent b/ds are on the hook for their reps’ behavior, even those thousands of miles away. A new compliance consultancy wants to help firms close that gap.  

Ladenburg Thalmann Financial Services has invested in Newday Financial Technologies Inc., a San Francisco-based investing startup that offers low-cost impact investment strategies aimed at millennials.

Richard G. Duncan knew the investment was likely a scam, yet he failed to let his clients know, the SEC claims.

The big banks, independent robos and other digital CFO offerings have a long way to go. But they are coming for you.

The asset manager said it’s seeking a head of ETF capital markets