Search for: "Secure Account Service LLC"
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17 Jun 2020, 2:05 pm
Before joining Kestra in 2015, Daughtry worked for Ameriprise Financial Services, Securities America, Sterne Agee Financial Services, Wachovia Securities, Southtrust Securities, and Liberty Securities Corporation. [read post]
25 Aug 2023, 6:05 am
The Securities and Exchange Commission today charged Wells Fargo Clearing Services LLC and Wells Fargo Advisors Financial Network LLC (collectively, Wells Fargo) for overcharging more than 10,900 investment advisory accounts more than $26.8 million in…Read the Full Press Release Have a securities law question? [read post]
18 Jan 2019, 9:35 am
His previous employers include Raymond James Financial Services, Inc. [read post]
17 Jul 2012, 7:29 pm
Commodity Futures Trading Commission is charging TC Credit Service, LLC, doing business as Del-Mair Group, LLC), and its owner Christopher D. [read post]
7 Jul 2023, 1:24 pm
The White Law Group reviews the regulatory history of Wells Fargo Clearing Services, LLC. [read post]
21 Apr 2022, 7:18 am
(CRD#:39550) of Wilmington, MA, and Pruco Securities, LLC. [read post]
19 Sep 2020, 6:22 am
LLC members should account for Social Security and Medicare taxes. [read post]
14 Oct 2015, 2:09 pm
” Santander Securities is a full-service brokerage firm that is a wholly owned subsidiary of Santander BanCorp, organized under the laws of the Commonwealth of Puerto Rico. [read post]
22 Jul 2021, 6:15 am
According to the Bureau of Securities order, BlockFi, through its affiliates BlockFi Lending, LLC and BlockFi Trading, LLC, funded its cryptocurrency lending operations and proprietary trading business in part through the sale of unregistered securities in violation of the New Jersey Securities Law. [read post]
11 Jul 2017, 1:38 pm
Wells Fargo Clearing Services, LLC provides account statements, trade confirms and other record-keeping, operational, clearing, and custodial services for introducing brokerage firms. [read post]
6 May 2014, 7:02 am
From the Desk of Jim Eccleston at Eccleston Law Offices: David Bridges, a former registered broker employed by NYLife Securities LLC, Allstate Financial Services, LLC, MML Investors Services, Inc., and Northwestern Mutual Investment Services, LLC. was charged with bilking investors out of more than $650,000. [read post]
27 Apr 2022, 7:20 am
If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. [read post]
14 Feb 2022, 8:15 am
Here are some of the reasons why you might want to get an EIN for your LLC even if it’s not required: Business bank account. [read post]
12 Jul 2018, 7:10 am
If an ABLE Account is not sufficient to meet your needs, please contact one of the attorneys at McLaughlin & Nardi, LLC by phone (973-890-0004) or e-mail to discuss setting up a Special Needs Trust. [read post]
31 Aug 2018, 10:37 am
This often requires making someone else a 6% non-employee owner to avoid the personal service corporation rule. [read post]
5 Oct 2020, 6:50 am
NBC Securities promotes itself as a full service broker/dealer and registered investment advisor providing investment services to retail and institutional clients. [read post]
20 Mar 2019, 8:43 am
It is also important to keep the personal accounts of the members separate from the business accounts of the LLC.There should be no cross over or overlap between LLC business accounts and personal accounts.For example, if the LLC is paid for a service carried out by the LLC, then the payment should be deposited into the LLC’s account and not the personal account of one (or more) of the members. [read post]
18 Sep 2019, 9:01 am
This often requires making someone else a 6% non-employee owner to avoid the personal service corporation rule. [read post]
17 Feb 2021, 12:58 pm
Tavel was also providing investment advice through Charter Advisory Corporation, an SEC-registered Investment Adviser, as well as providing tax services and insurance products through Tavel Insurance & Financial Services, LLC. [read post]
29 Jan 2022, 4:53 am
Barouti is registered as a broker with Emerson Equity LLC in Los Angeles, CA, and is the CEO of Barouti Financial Services, LLC. [read post]
