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.
March 10, 2021 2 MINS
Three broker-dealers under the umbrella of the Advisor Group network of firms have increased reserves for upcoming “legal and regulatory matters,” according to annual financial statements filed recently with the Securities and Exchange Commission.
Of the five Advisor Group broker-dealers that have so far filed their 2020 financial statements, called Focus Reports in the industry, three, Royal Alliance Associates Inc., SagePoint Financial Inc., and FSC Securities Corp., boosted their legal reserves by as much as three times the amount of the prior year. Two other firms, Securities America Inc. and Woodbury Financial Services, cut their reserves.
Advisor Group Welcomes Three Financial Professionals With Assets Totaling $120 Million To Its Platform
Successful Professionals in California and North Carolina Join Advisor Group through its Subsidiary Securities America
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PHOENIX, March 4, 2021 /PRNewswire/ Advisor Group, the nation s largest network of independent wealth management firms, today announced the successful recruitment to its network of three financial professionals in California and North Carolina with a total of $120 million in client assets. The professionals include Daniel Sutton and Chris Paydock of Sunset Wealth Advisors in Roseville, California and Kevin Swan in Raleigh, North Carolina.
The professionals have joined Advisor Group through its subsidiary and network member firm Securities America. Advisor Group also includes FSC Securities Corporation, Royal Alliance Associates, Inc., SagePoint Financial, Inc., Triad Advisors, LLC and Woodbury Financia
David Lampe of Mint Wealth Management Wins 2020 Community Inspiration Award
This award from AssetMark recognizes financial advisors for notable and inspiring charitable commitment within their communities.
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HOUSTON, Feb. 24, 2021 /PRNewswire/ Mint Wealth Management, a wealth management firm in Houston, today announces David Lampe, Co-founder and Principal, has been selected as a 2020 Community Inspiration Award winner for his work with Helping a Hero, a non-profit that dedicates their resources to families of disabled veterans who have been injured in combat.
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Helping a Hero partners with other local builders, developers, and community members to build adapted homes for wounded heroes as they reintegrate back into their communities. After an especially trying year for many, underserved groups like Veterans need community service support now more than ever. David is involved with the efforts of Helpin
Advisor Group Launches National Advisory Board To Drive Collaboration and Feedback With Financial Professionals
Twelve-Member Board Encompasses Financial Professionals Across Company s Network to Influence Strategy and Investments in Advisor Growth Resources
Board Formation Is Keystone Project of Newly-Formed Advisor Engagement Team
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PHOENIX, Feb. 23, 2021 /PRNewswire/ Advisor Group, the nation s largest network of independent wealth management firms, today announced the formation of its National Advisory Board ( NAB ), consisting of twelve financial professionals drawn from across the Advisor Group community. The launch of the NAB is the keystone project of the company s newly launched Advisor Engagement function. Debra Brennan Tagg, President of BFS Advisory Group, will serve as the NAB s inaugural Chair, while Erinn Ford, EVP, Advisor Engagement, will serve as the NAB s executive sponsor.
Advisor Group s Premier Trust Expands Business Development And Trust Administration Teams To Support Surge In Demand For Sophisticated, Financial Advisor-Friendly Trust Solutions prnewswire.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from prnewswire.com Daily Mail and Mail on Sunday newspapers.