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Daughter of Imprisoned Former Securities America Broker Pleads Guilty to Federal...

The United States Attorney for the Southern District of New York reported that Vania May Bell, the former comptroller and chief compliance officer of...

Securities America Advisors to Pay $1.8 Million For Failing to Prevent...

The Securities and Exchange Commission has ordered Securities America Advisors, the RIA arm of broker-dealer Securities America Inc., to pay a $1.75 million civil...

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...

Securities America Recruits Wealth Management Team from Ameriprise

Securities America, a wealth management firm within Advisor Group’s network, has recruited Gaulden & Associates Wealth Management, a North Carolina-based wealth management group with...

Securities America Recruits Another Credit Union Program from LPL Financial

Securities America, a wealth management firm within Advisor Group’s network, has added USE Credit Union’s investment services program to its financial institutions platform. USECU has...

Securities America Recruits $150 Million Team

Securities America, a wealth management firm within Advisor Group’s network, has recruited Heritage Harbor Financial Associates, an independent financial advisory business headquartered in Port...

Securities America CEO Nominated for Second Term on FINRA Board

Securities America, a wealth management firm within Advisor Group’s network, reported that president and chief executive officer Jim Nagengast has been nominated to the...

Securities America Recruits Credit Union Team from LPL

Securities America, a wealth management firm within Advisor Group’s network, has added Oregon Community Credit Union (OCCU) to its financial institutions platform. The team...

Advisor Group’s Securities America Recruits $120 Million Hybrid

Securities America, a wealth management firm within Advisor Group’s network, has recruited 20/20 Wealth Management Group, a hybrid financial advisory practice based in Auburn,...

Securities America Nabs $560 Million Hybrid

Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has added Goldstein & Associates, an independent wealth management firm...