Tag: Royal Alliance
Royal Alliance Super-OSJ Acquires $4.5 Billion Firm
GenXFinancial, a wealth management firm affiliated with Advisor Group subsidiary Royal Alliance, has acquired Boston Partners Financial Group, a New England-based financial advisory firm...
Advisor Group’s Royal Alliance Recruits $168 Million Wealth Management Team
Royal Alliance Associates, a broker-dealer within the Advisor Group network of independent wealth management firms, has recruited Azose Johnson & Associates, a Washington-based firm...
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...
Woodbury Adds Two Colorado Advisory Firms with $378 Million in Combined...
Woodbury Financial Services, an independent broker-dealer in the Advisor Group network, has added Life Wealth Principles and National Financial Advisors, which have a combined...
Advisor Group’s Royal Alliance Plans to Acquire Signator Investors
Advisor Group, one of the nation's largest networks of independent financial advisory firms, plans to acquire Signator Investors Inc. and merge it into Royal...
Feds Arrest Former Royal Alliance Broker for $2 Million Fraud Against...
A former Royal Alliance broker was indicted and arrested by federal agents yesterday for allegedly stealing more than $2.1 million from two of his...
Triad Recruits $325 Million Firm to its Broker-Dealer and Hybrid RIA...
Triad Advisors LLC, a wholly owned subsidiary of Ladenburg Thalmann Financial Services (NYSE American: LTS), has recruited Cirrus Wealth Management to join its broker-dealer...
SEC Obtains Judgment Against Former SII Investments Advisor for Allegedly Defrauding...
A federal district court entered a judgment against a former SII Investments advisor and tax preparer for defrauding his clients of more than $1...
Woodbury Financial Buys Capital One’s $10 Billion Advisory Unit
Woodbury Financial Services, an independent broker-dealer in the Advisor Group network, will acquire Capital One Investing’s $10 billion full-service investment management and brokerage division....
SagePoint Adds Three Advisor Groups with $2 Billion in Client Assets
SagePoint Financial, a financial services firm with more than 1,900 advisors nationwide, announced that High Point Capital Group, Legacy Financial Advisors Inc., and Buckley...
Advisor Group Breaks Recruiting Record in 2017
Advisor Group, one of the nation's largest networks of independent financial advisors, had a record-breaking 2017 with the recruitment of 614 financial advisors with...
