IBDs

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  Baird Expands Recruiting of Trainees, Advisors

  By Janet Levaux, AdvisorOne  |  May 22, 2013

  The employee-owned, Milwaukee-based firm tops $100 billion in client assets as it aims for $1 billion in revenue.

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  FINRA Fines LPL $9M for Failing to Monitor Emails

  By Melanie Waddell, AdvisorOne  |  May 21, 2013

  FINRA announced Tuesday that it fined LPL for 35 separate, “significant email system failures,” and for making material misstatements to FINRA during its investigation.

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  Cambridge CEO Schwartz: What His Firm, Other Advisors Must Do to Stay Successful

  By John Sullivan, AdvisorOne  |  May 20, 2013

  Despite the scenic Colorado view, the meeting began on a somber note as CEO Eric Schwartz eulogized marketing and recruiting head Jim Guy, who died April 5.

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  Janney Nabs Morgan Stanley Team in Delaware

  By Janet Levaux, AdvisorOne  |  May 20, 2013

  The advisors join with about $195 million in assets and $1.5 million in yearly fees and commissions.

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  SCF Lures Walnut Street Team of 4 Advisors

  By Janet Levaux, AdvisorOne  |  May 17, 2013

  The move puts the Fresno-based independent broker-dealer at more than $1 billion in affilated client assets and 140 advisors.

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  Securities America Adds 6 Financial Affiliates With $3.75B in Assets

  By Janet Levaux, AdvisorOne  |  May 16, 2013

  The credit unions and banks include 15 financial advisors and are located in the Midwest, West and Northeast.

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  Pershing to Launch NetX360 Mobile Update at Insite

  By Joyce Hanson, AdvisorOne  |  May 15, 2013

  Pershing leverages the deep, $2 billion pockets of its BNY Mellon parent in a way that many competitors can’t match.

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  150 Advisors From Capital Investment Cos. Join FSI

  By James J. Green, AdvisorOne  |  May 15, 2013

  The broker-dealer will pay for first-year membership for its representatives in independent BD association, which counts 35,000 individual advisor members.

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  Baird Nabs Morgan Stanley, UBS Advisors; Securities America Expands Recruiting Group

  By Janet Levaux, AdvisorOne  |  May 14, 2013

  The new Baird teams come on board with some $800 million in client assets under management in Minnesota and Tennessee.

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  Larry Roth: The 2013 IA 25 Extended Profile

  By John Sullivan, AdvisorOne  |  May 13, 2013

  Think about this the next time someone complains about not being able to “find the time” to get involved.