Evarist Amah of New Rochelle, New York, is charged with producing phony statements to fleece co-religionists.
Robert Batick moves from Westport Capital, while Norman Coates made the switch from LPL Financial.
Inflows to the accounts rise to $4.7 billion during the quarter, from $3.7 billion in the first three months of the year.
Burt White, CIO of LPL, joins to chat about LPL's annual meeting, transitioning from the 60/40 mindset, and the role of a CIO. Zach Teutsch, an adviser who specializes in progressive clients, talks about having a niche practice, tax planning for the left-minded, and his curious career path through Bear Stearns during the '08 financial crisis.
The advisers are based in Virginia and the Carolinas; there's also one rep joining Janney from Wells Fargo.
Serafini Financial Group managed $853 million before the transaction.
The purchase of the investment boutique will provide the RIA with expertise in alternatives.
The three strategies it is rolling out as semitransparent ETFs are already available as mutual funds.
Finra cancelled the license of Florida-based Spartan Securities Group in 2019.
Jeff Anderson and Doug McClure of Bothell, Washington, affiliate through Mainspring Wealth Advisors, an office of supervisory jurisdiction.
