Robert Batick who manages $224 million as an independent in Guilford, Connecticut, has changed affiliation from Westport Capital Management to Securities America Inc. Also making a switch to Securities America is Norman “Todd” Coates, who manages $152 million in Tyler, ...

Advisor Group Inc., a massive network of more than 10,000 financial advisers, is shaking up its recruiting effort, and last week said it had hired Kristen Kimmell from RBC Wealth Management to head its recruiting of financial advisers across its ...

Securities America Advisers, the RIA arm of leading independent broker-dealer Securities America Inc., was fined $1.75 million by the Securities and Exchange Commission Wednesday for allegedly failing to safeguard clients from a rogue broker who pleaded guilty in 2018 to ...