Displaying 16 results
$275 million Colorado team jumps to LPL from Woodbury
Joe Di Biasi and Greg McElheny head Blue Sky Wealth Management in Greenwood Village.
Advisor Group makes rebranding campaign official
A new name is forthcoming, and the firm's eight independent broker-dealers will be merged under that new name in 18 months.
Commonwealth adds $230 million team from Advisor Group
Michael Critchfield and Matthew DiGiacomo operate as Core Financial Group in Yuba City, California.
Finra smacks Advisor Group with $1.3 million penalty over private placement sales
The four Advisor Group firms sold investors GPB private placements but failed to tell them that GPB hadn't made required filings, including audited financial statements.
Team managing $221 million joins Woodbury from Raymond James
The trio of advisers operates as Compass Wealth Solutions and is based in Portland, Indiana.
Advisor Group firms boost legal reserves
Royal Alliance Associates Inc., SagePoint Financial Inc., and FSC Securities Corp., increased legal reserves by as much as three times the amount of the prior year.
Finra bars no-show former Woodbury broker
Regulator was investigating Ronald Hannes for taking client funds intended to be used for life insurance
SEC charges Texas ‘broker’ with illegally selling Woodbridge securities
Unregistered Brett Pittsenbargar sold $18 million of fraudulent paper to at least 45 investors.
Advisor Group rolls out cybersecurity program for broker-dealers
Insurance, data-backup, auditing and monitoring are among the components of CyberGuard
Two firms overseeing $378 million affiliate with Woodbury
Next Financial and Kestra Financial lose out in B-D swap.
Two more NPH firms spurn LPL, affiliate with Woodbury Financial
A $2 billion OSJ at SII and a $347 million firm at NPC depart for Woodbury Financial, a unit of the Advisor Group.
Wisconsin advisory firm leaves broker-dealer NPC for Woodbury Financial Services
Feucht Financial Group, started as tax-prep service, administers more than $430 million in assets.
Woodbury reps set to cash in: recruiters
Recruiters say management at Woodbury Financial, which is being acquired by AIG's broker-dealer, has doubled down on retention packages in a bid to keep reps in their seats.
AIG emerges as most likely buyer of Woodbury Financial Services
Announcement of a deal for the 1,600 reps and advisers is expected before indie B-D's national sales conference next month
‘Selling away’ again a concern for regulators
Suddenly, selling away is again a big concern for regulators and law enforcement agencies. In recent months, former reps at several marquee B-Ds have been investigated for allegedly peddling unapproved investments on the side. | Extra What top RIA execs earn
Woodbury taps former ING Advisors exec as new president and CEO
Woodbury Financial Services has tapped Patrick McEvoy, a former executive at one of the ING Advisors Network broker-dealers, to be its president and chief executive.
