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Advisor Group’s Royal Alliance Recruits $975 Million Super OSJ

Royal Alliance Associates, an independent wealth management firm within the Advisor Group network, has recruited Pacific Capital Resource Group, a Super-OSJ group supervising 40...

Advisor Group’s Royal Alliance Recruits Former ProEquities Team

Royal Alliance Associates, an independent wealth management firm within the Advisor Group network, has recruited Mint Wealth Management, a Houston-based financial planning and wealth...

Advisor Group’s Royal Alliance Recruits Longtime HSBC Financial Advisor

Royal Alliance Associates, an independent wealth management firm within the Advisor Group network, has recruited Peter Hatzakos, a Holmdel, New Jersey-based financial advisor with...

FINRA Fines Royal Alliance Over Two Brokers Who Stole $3.8 Million...

The Financial Industry Regulatory Authority has fined independent broker-dealer Royal Alliance Associates $400,000 after two of its brokers, acting independently of each other, stole...

Woodbury Financial and GCG Recruit Five Longtime Wells Fargo Advisors

GCG Wealth Management, a Woodbury Financial Services-affiliated firm, has recruited five advisors with a combined $330 million in client assets to its new Greensboro,...

Advisor Group Launches Cybersecurity Program for Advisors and Clients

Advisor Group, one of the nation’s largest networks of independent wealth management firms, has introduced its CyberGuard Program, a cybersecurity services and support platform...

Centerbridge Partners Reportedly Mulling Purchase of Advisor Group for $2 Billion

Bloomberg reported that Centerbridge Partners LP is in talks to purchase independent broker-dealer network Advisor Group for more than $2 billion, citing anonymous sources...

Woodbury Adds 400 Questar Financial Advisors With $12.2 Billion In Assets

Woodbury Financial Services, an independent wealth management firm within the Advisor Group network, has recruited 400 financial advisors with $12.2 billion in assets under...

Massachusetts Regulators Charge Royal Alliance and Rep Over Unsuitable Annuity Exchange

The Massachusetts Securities Division has charged broker-dealer Royal Alliance Associates Inc. with failing to supervise one of its brokers who allegedly made unsuitable investment...

Advisor Group’s Royal Alliance Completes Acquisition of Signator Investors

Royal Alliance Associates, one of Advisor Group's four independent wealth management firms, has closed its acquisition of Signator Investors Inc., a dual-registered broker-dealer and...