Tag: investment adviser
Wealth Advisory Firm with $250 Million in Assets Under Administration Joins...
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, announced that the advisors of Wooster Square Advisors joined Cetera Advisor...
Cetera Recruits Two Advisors with $218 Million in Assets Under Administration
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, announced that Michael Hall, financial advisor, and Michael Ostdiek, registered representative,...
$206 Million Firm Joins Cetera
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, announced that the advisors of True Wealth Advisor Group have affiliated...
Three Firms Managing More Than $600 Million Join Cetera
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, announced that three teams managing approximately $610 million in assets under...
Cetera Makes Strategic Investment in $1.7 Billion Prosperity Advisors
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, announced that it has made a minority investment in $1.7 billion...
Cetera Reports Record Recruitment in 2022, Adds $13 Billion in Assets...
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, announced that it attracted more than $13 billion through organic recruiting...
Cetera Financial Recruits $2.5 Billion RIA
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, announced that The Patriot Financial Group, an independent, registered investment advisor...
SEC Obtains Final Judgement Against Cetera Advisors and Cetera Advisor Networks...
The Securities and Exchange Commission obtained a final judgment against defendants Cetera Advisors LLC and Cetera Advisor Networks LLC, whom the SEC previously charged...
SEC Sanctions “Fraud Guarantee” Principal for Fraud
The U.S. District Court for the Southern District of New York entered a final consent judgment against Florida resident Lev Parnas, a Soviet-born businessman,...
Cetera Financial Attracts Record $6.3 Billion in Assets via Third Quarter...
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, attracted a record $6.3 billion through third quarter recruiting efforts from both wirehouses...
Sageview to Acquire Former LPL Affiliate with $415 Million in Client...
SageView Advisory Group, an independent registered investment advisory firm, announced the acquisition of Deer Park, Illinois-based Lakeview Wealth Management, an advisory firm formerly affiliated...
SEC Accepts Offer of Settlement from Former Merrill Lynch Advisor
The Securities and Exchange Commission has accepted an Offer of Settlement from Shaun P. Golden, a former advisor for Merrill Lynch.
Golden is the president,...
SEC Obtains Final Judgment Against Edward Jones Advisor
The Securities and Exchange Commission has obtained a final judgment against Ronald T. Molo, a former investment professional at Edward Jones for more than...
SEC Charges Former LPL Rep with Defrauding Elderly Client
The Securities and Exchange Commission charged Bradley A. Goodbred, a former registered representative with LPL Financial, with stealing $1.3 million from an elderly client,...
SEC Bars Former Ameriprise Financial Investment Advisor
The Securities and Exchange Commission has barred Arthur S. Hoffman, a former investment adviser representative of Ameriprise Financial Services.
Hoffman began his career at Morgan...
SEC Charges Former Advisor with Misappropriation of Client Funds
The Securities and Exchange Commission has charged David Sheldon Wells, a former representative of an SEC-registered broker-dealer and investment advisory firm, Fifth Third Securities...
Former LPL Broker Pleads Guilty to Fraud and Witness Tampering
James Kenneth Couture, a registered investment adviser and former LPL broker accused of stealing nearly $3 million from six clients, has pled guilty to...
Cetera Recruits $140 Million Team from Commonwealth
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, has recruited Cramer Capital Management, a Kansas City-based team formerly affiliated...
SEC Begins Administrative Proceedings Against Broker Serving 7.5 Years in Federal...
The Securities and Exchange Commission has instituted public administrative proceedings against Leon Vaccarelli, a former broker and investment adviser who is currently serving 7.5...
Sageview Hires Former Goldman Exec as Chief Operating Officer
SageView Advisory Group, an independent registered investment advisory firm, has hired Jorge Bernal as chief operating officer.
In his new role, Bernal will oversee all...
