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Ron Carson Jumping to Cetera From LPL - ThinkAdvisor
Carson Wealth Management is poised to switch broker-dealers, according to a source familiar with the firm. Led by Ron Carson, the group has been affiliated with LPL Financial since 1989 but is likely set to join a broker-dealer within the Cetera.

12 Worst Financial Advisors in America: 2016 - ThinkAdvisor
From stealing from the elderly to conning pro athletes, 2016 had its fair share of fraud charges and prison sentences against scammers who acted as investment advisors . And the bar was set low: One fraudster had already been kicked out of the industry.

Brookstone Capital Management Changes Structure of its Ownership
Most recently, BCM saw its (AUM) surge by over 55% in 2012 ... Advisor, headquartered in Wheaton, Illinois. In 2011, Financial Advisor Magazine ranked BCM as the sixth “Fastest-Growing Firm” in the U.S., according to its annual RIA survey.

Focus Financial Partners boosts team with new additions
Focus Financial Partners has expanded its team with several ... on business development and acquisition activities with an emphasis on recruiting top advisors and RIA firms, and accelerating the growth of their business by benefiting from best practices.

Blowing The Whistle On Whistleblower Retaliation - Financial Advisor Magazine (registration)
While that case involved SandRidge Energy Inc., an oil-and-gas company, it nonetheless is germane to the financial advisor industry because the SEC has issued a Risk Alert to encourage investment advisors and broker-dealers to assess compliance with a.

In Terms Of Diversity, Financial Planning Is In Catch-Up Mode - Financial Advisor Magazine (registration)
Amy Brotka of West Seneca, N.Y., worked in banking investment for 20 years, then her job disappeared in 2012 because the bank was dissolved. This gave her a ... She decided she wanted to be a certified financial planner and open her own RIA . She is on.

RIA Survey & Ranking 2017 - Financial Advisor Magazine (registration)
The market growth and consolidation have in any case led to bigger, more fearsome RIA firms. In 2012 , when Financial Advisor performed its RIA survey, some 120 firms listed assets of a billion or more. The number is now just north of 200, after a wave.

Former UBS Advisors Launch IFM Capital Advisors, A RIA with 3 Offices in the Rocky Mountain Region
“IFM is a prime example of the continuing trend of top-tier advisors leaving wirehouses ... Focus was included on Inc. magazine’s 5000 ranking of the nation’s fastest-growing private companies in 2011 and 2010. In 2012, Focus was named a Crain.

HighTower Adds LPL Group in St. Louis - ThinkAdvisor
quot;HighTower attracts exceptional financial advisors from every segment of the industry," said CEO Elliot Weissbluth, in a statement. "We proudly welcome Carol, Omar [Qureshi] and their team to our St. Louis office and the greater HighTower community.&quot.

Womenomics: A Different Lens - Financial Advisor Magazine (registration)
VanderBrug: At both U.S. Trust and Merrill Lynch we offer clients multi-asset-class impact portfolios, which use top -of-the-house asset allocation and active and passive impact strategies. We have been running our proprietary internal impact strategy.

State Bankruptcies: Why Obamacare Will Never Be Repealed - Financial Advisor Magazine (registration)
The Trump administration, along with Congress, is hard at work on their quest to repeal and replace the 2010 Affordable Care Act (ACA). Last week their proposal passed through two House committees and is moving on to a budget panel before it hits the&nbsp.

Pennsylvania Levies Record-Breaking Fine Against Florida Broker - Financial Advisor Magazine (registration)
While the state did not provide details on the specific investments or selling practices in question, Dutton, who runs a Philadelphia-area office of Bridge Valley Financial Services, sold securities issued by American Realty Capital Partners and other.