Home Tags Broker

Tag: broker

Advisor Group’s Securities America Recruits Advisors from LPL and Mutual of...

Securities America, a wealth management firm within Advisor Group’s network, has recruited three financial professionals with a total of $120 million in client assets....

FINRA Fines Securities America for Violating Customer Privacy

The Financial Industry Regulatory Authority has fined Securities America $125,000 for purportedly helping 12 recruited brokers take nonpublic personal customer information from their former...

Advisor Group Launches National Advisory Board

Advisor Group, a network of independent wealth management firms, has launched its new National Advisory Board (NAB), consisting of 12 advisors from across its...

SEC Obtains Judgment Against Former LPL Broker that Ran $5 Million...

The Securities and Exchange Commission has obtained a final judgement against James T. Booth, a former LPL Financial broker who operated a Ponzi scheme...

Aurora Securities Names President and Chief Compliance Officer

Aurora Securities Inc., an independent broker-dealer, has hired Lori Kamen to serve as its president and chief compliance officer. She will also serve as...

FINRA Suspends Two Former Transamerica Reps for Designating Themselves as VA...

The Financial Industry Regulatory Authority has fined and suspended former Transamerica registered representatives, Wenru Liang and Jenny Xinfang Feng, who were both accused of...

Stratos-Backed Brown Wealth Management Increases Client Assets to $1.2 Billion with...

Brown Wealth Management, a San Diego-based independent wealth management firm, has purchased Truuwater Financial. The transaction combines two San Diego-based wealth managers, expanding Brown...

FINRA Fines Triad Advisors Over Supervisory Failures

The Financial Industry Regulatory Authority has issued a $150,000 fine to Triad Advisors, a wealth management firm within the Advisor Group network, for failing...

Advisor Group Names President and CEO Of SagePoint Financial

Advisor Group, a network of independent wealth management firms, has appointed Desireé Sii as president and chief executive officer of SagePoint Financial following the...

Cetera to Buy Assets of Voya’s Independent Financial Planning Channel

Cetera Financial Group, a network of independently managed broker-dealers, has agreed to purchase the independent financial planning channel of Voya Financial Advisors, Voya’s registered...