Mariner Wealth Advisors has opened two new offices in Des Moines, Iowa and Charlotte, North Carolina.
The New Jersey-based CKW Wealth Management has joined LPL Financial.
Rockefeller advisors will now have access to the largest SMA managers in the business and thousands of portfolio strategies.
Kansas-based RIA Prime Capital Investment Advisors has acquired Longer Investments.
Miracle Mile Advisors has grown to $1.5 billion in assets under management following its acquisition of Palo Capital.
Finra has fined former Waddell & Reed broker Donald Logan for $25,000 and suspended him from the industry for unauthorized discretionary trades.
Charles Gonzalez refused to comply with a Finra investigation on alleged outside business activity he was conducting while still with broker-dealer Spartan Capital Securities.
Mariner Wealth Advisors has acquired New Albany, Indiana-based Martin Financial Group.
A Finra arbitration panel has granted 13 claimants an arbitration award of $385,000 from ex-Allegis Investment Advisors president Heath Shayne Bowen.
Fountainhead Asset Management gatekeeper Mark Andraos has joined Ramsey, New Jersey-based RIA Regency Wealth Management.