Tag: Securities America
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...
Securities America Launches Super OSJ With Former SA Stone Wealth Management...
Securities America, a subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has partnered with wealth management industry veteran David Pintaric to launch his...
SEC Bars Former Securities America Broker Over $1 Billion Ponzi Scheme
The Securities and Exchange Commission has barred former Securities America broker, Ronald Roach, who recently pled guilty to participating in a $1 billion Ponzi...
Securities America Recruits Former Summit Brokerage Team
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has recruited Knight Investments Group Inc., an independent wealth management...
Ladenburg Launches 401(K) Platform for Advisors’ Business Clients
Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded financial services company, has launched a fully-bundled 401(k) program that allows its advisors to provide...
Ladenburg Invests in Impact Investing Start-Up Targeting Millennial Investors
Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded financial services company, has invested in Newday Financial Technologies Inc., a San Francisco-based startup focused...
Longtime Securities America Broker Sentenced to 13 Years for Ponzi Scheme
Hector May, a former Securities America broker who stole millions of dollars from his clients in a Ponzi scheme with his daughter, was sentenced...
Securities America Adds Group with $182 Million in Total Client Assets
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has recruited Nittany Brokerage Financial, a multi-service independent financial advisory...
Securities America Adds Three Groups with Approximately $245 Million in Client...
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has recruited three advisory practices with client assets totaling approximately...
Ladenburg Names Veteran Executive to Senior Vice President of Enterprise Services
Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded financial services company, has appointed veteran industry operations and technology executive David Ballard to the...
Securities America Recruits Team with $200 Million in Client Assets
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS), has recruited a group of six advisors with more...
