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HilltopSecurities is a financial services company headquartered in Dallas. The company is a broker-dealer and Registered Investment Adviser that provides investment banking and financial advisory services. [39] It was founded in January 2016 from the merger of two Dallas-based financial firms, FirstSouthwest Company and Southwest Securities ...
Year Event 2015 Blucora announces acquisition of HD Vest [3]: 2019 Avantax closed the acquisition of all the issued and outstanding common stock of 1st Global, a tax-focused wealth management company.
World Group Securities (WGS) is an American broker-dealer that provides exclusive services to World Financial Group a multi-level marketing financial and insurance services company. WGS is a subsidiary of the Dutch-owned AEGON insurance Group. WGS has been involved in a number of lawsuits with state regulators alleging the selling of unsuitable ...
LPL Financial Holdings Inc. (commonly referred to as LPL Financial) was founded in 1989 and is considered the largest independent broker-dealer in the United States. As of 2021 the company had more than 17,500 financial advisors, [4] over US$1 trillion in advisory and brokerage assets, [5] and generated approximately $10.3 billion in annual revenue for the 2023 fiscal year. [6]
Broker-dealers are at the heart of the securities and derivatives trading process. [1] Although many broker-dealers are "independent" firms solely involved in broker-dealer services, many others are business units or subsidiaries of commercial banks, investment banks or investment companies.
Electronic ticker monitor display, showing the bid and offer status of securities. Securities market participants in the United States include corporations and governments issuing securities, persons and corporations buying and selling a security, the broker-dealers and exchanges which facilitate such trading, banks which safe keep assets, and regulators who monitor the markets' activities.
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As a result, in January 2019, Victory Capital announced it would move its headquarters from Cleveland, Ohio to San Antonio, Texas. [19] Both actions were completed in 2019. [20] In 2021, Victory Capital made a series of acquisitions where it acquired THB Asset Management, New Energy Capital Partners and WestEnd Advisors. [21]