SGC Financial and Insurance Services, a 13-adviser hybrid managing $1 billion, has switched its broker-dealer and corporate registered investment adviser platforms from Securian Financial to LPL Financial, which it will use as its custodian.
The firm, which began as a general agency for an insurance company in 1945, is based in San Mateo, California.
Adviser Matthew Bond has been the firm's president since 2011 and Cara Banchero serves as COO. The team includes 12 other advisers and several support staff members.
See the latest Advisers on the Move here.
Despite a lighter regulatory outlook and staffing disruptions at the SEC, one compliance expert says RIA firms shouldn't expect a "free pass."
FINRA has been focused on firms and their use of social media for several years.
RayJay's latest additions bolster its independent advisor channel's presence across Pennsylvania, Florida, and Washington.
The deal ending more than 30 years of ownership by the Swiss bank includes six investment strategies representing more than $11 billion in AUM.
Divorce, widowhood, and retirement are events when financial advisors may provide stability and guidance.
How intelliflo aims to solve advisors' top tech headaches—without sacrificing the personal touch clients crave
From direct lending to asset-based finance to commercial real estate debt.
