Search for: "ADVISER DEALER SERVICES, INC."
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12 Apr 2021, 8:26 am
The GPB funds were marketed to independent broker-dealers and investment advisers who would, in turn, sell the GPB funds to their retail investors. [read post]
1 Sep 2021, 5:45 am
, Release No. 34-92806; and In the Matter of KMS Financial Services, Inc. [read post]
28 Apr 2021, 4:56 am
IBN Financial Services, Inc. is a broker-dealer based in Liverpool, New York. [read post]
9 Feb 2024, 8:59 am
The Securities and Exchange Commission has issued charges and fines against five broker-dealers, seven dually registered broker-dealers and investment advisers, and four affiliated investment advisers for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications. [read post]
20 Apr 2021, 3:03 pm
The GPB funds were marketed to independent broker-dealers and investment advisers who would in turn sell the GPB funds to their retail investors. [read post]
18 Apr 2011, 3:01 pm
The SEC filed a civil action against AIC, Inc., a financial services holding company for three broker-dealers and an investment adviser based in Richmond, Virginia, and its President and CEO, Nicholas D. [read post]
17 Sep 2007, 11:51 pm
Legacy Financial Services Inc., an independent broker-dealer, has closed shop. [read post]
19 Apr 2016, 12:22 pm
The list recognizes top financial advisers at traditional broker-dealer firms from across the U.S. [read post]
24 Apr 2021, 11:27 am
Vestech Securities, Inc. is a full-service brokerage and advisory firm headquartered in St. [read post]
26 Jul 2022, 7:00 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
28 Oct 2011, 5:52 am
LPL Financial LLC expects to lose 100 bank brokers this quarter due to the continuing integration of Uvest Financial Services Group Inc., its broker-dealer that specializes in serving financial advisers that work with financial institutions. [read post]
8 Sep 2023, 12:51 pm
Ameriprise Financial Services (CRD # 6363/SEC#: 801-28543,8-16791) headquartered in Minneapolis, Minnesota, is dually registered as an investment adviser and broker-dealer. [read post]
19 Feb 2019, 7:07 am
Several other firms, including UBS Financial Services Inc. [read post]
19 Jan 2021, 9:22 am
(CRD #124658, San Francisco, CA) Growth Capital Services, Inc. is a dually registered investment adviser and broker dealer, headquartered in San Francisco. [read post]
1 Jul 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: According to a survey by InvestmentNews for 2013, the top five Independent broker-dealers firms ranked by total account assets are: LPL Financial, with total account assets of $437,906.7 M Raymond James Financial Services Inc., with total account assets of $191,660.5M Northwestern Mutual, with total account assets of $100,090.9M Commonwealth Financial Network, with total account assets of… [read post]
27 Aug 2022, 7:00 am
The ex-Wellesley, MA broker is also a former registered investment adviser who most recently was with Capital Planning Group of Massachusetts, Inc. [read post]
8 Jun 2020, 8:18 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
24 Jan 2011, 7:15 am
The staff recommendations “were guided by an effort to * * * recommend a harmonized regulatory regime for investment advisers and broker-dealers when providing the same or substantially similar services, to better protect retail investors. [read post]
28 Jun 2018, 11:49 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
28 Jun 2018, 11:49 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
