Search for: "Affiliated Financial Group, Inc."
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23 Aug 2023, 11:03 am
(CRD#:127724), WOODBRIDGE, NJ, B, 05/14/2013 – 12/31/2016, EDI FINANCIAL, INC. [read post]
17 Aug 2023, 10:49 am
May 2019 – Fidelity Masonic Temple Association, Inc. [read post]
16 Aug 2023, 9:04 am
The White Law Group reviews the regulatory history of Securities America Inc. [read post]
10 Aug 2023, 1:56 pm
(CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East Falmouth, MA, and Securities America, Inc. [read post]
9 Aug 2023, 9:28 am
According to his FINRA broker report, Lickhai Quach has been affiliated with the following firms during his career in the securities industry, including the following: 01/06/2012 – 03/10/2023, TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164), ROCKVILLE, MD, B, 04/12/2002 – 01/06/2012, WORLD GROUP SECURITIES, INC. [read post]
8 Aug 2023, 11:25 am
According to FINRA broker report, William Weisbrod and Lilia Nia were reportedly affiliated with the following firms during their careers, among others: William Weisbrod: B – 4/27/2009-2/18/2021, Purshe Kaplan Sterling Investments (CRD#:35747), Fairfield, NJ B – 04/22/2005 – 02/06/2009, Citigroup Global Markets INC. [read post]
1 Aug 2023, 11:44 am
According to his FINRA broker report, Billy Stanage has been affiliated with the following firms during his career in the securities industry, including the following: 12/04/2019 – 03/07/2023, COMMONWEALTH FINANCIAL NETWORK (CRD#:8032), Rio Rancho, NM, B, 12/08/2016 – 11/29/2019, SECURITIES AMERICA, INC. [read post]
31 Jul 2023, 12:40 pm
(CRD#:7059), NEW YORK, NY B, 11/07/2016 – 09/28/2021, CITIGROUP GLOBAL MARKETS INC. [read post]
28 Jul 2023, 1:02 pm
The initial suit and allegations against Schorsch stated, “This abuse, together with the foreseeable impact of financial fraud they perpetrated at an affiliated entity, was so severe that after less than three years RCAP declared bankruptcy, having lost nearly $1 billion in investors’ money. [read post]
24 Jul 2023, 10:51 am
According to her FINRA broker report, Lynn Bryant was reportedly affiliated with the following firms during her career, among others: B , 10/24/2007 – 10/07/2022 , LPL FINANCIAL LLC (CRD#:6413) , HURST, TX B , 07/14/2000 – 10/25/2007 , RAYMOND JAMES FINANCIAL SERVICES, INC. [read post]
21 Jul 2023, 9:28 am
His previous employers were KMS Financial Services, Inc. [read post]
16 Jul 2023, 7:48 pm
He was reportedly affiliated with the following firms during his career, among others: 04/03/2012 – 12/13/2019, COASTAL EQUITIES, INC. [read post]
13 Jul 2023, 12:22 pm
Eugene Kim (Gene Kim) was affiliated with the following firms during his career, among others: 09/18/2022 – 09/19/2022, INNOVATION X ADVISORS (CRD#:322292), ROCKVILLE, MD08/25/2015 – 07/22/2022, NATIONAL ASSET MANAGEMENT, INC. [read post]
13 Jul 2023, 8:18 am
(CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East Falmouth, MA, and Securities America, Inc. [read post]
11 Jul 2023, 11:19 am
(CRD#:3001), CHICAGO, IL, B, 02/29/2016 – 09/17/2018, AUSDAL FINANCIAL PARTNERS, INC. [read post]
7 Jul 2023, 12:53 pm
She was reportedly affiliated as a broker with the following firms among others during her thirty-year career: 11/10/2021 – 09/15/2022, WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616), CHICAGO, IL, B, 07/03/2012 – 11/12/2021, CITIGROUP GLOBAL MARKETS INC. [read post]
5 Jul 2023, 12:52 pm
The White Law Group reviews the regulatory history of Hightower Securities LLC. [read post]
29 Jun 2023, 8:30 am
Skrabonja was reportedly affiliated with the following firms, among others, during his career: 10/03/2019 – 05/16/2023, GREEN VISTA CAPITAL, LLC (CRD#:293630), Winter Park, FL, B, 05/03/2016 – 10/04/2019, SAGEPOINT FINANCIAL, INC. [read post]
27 Jun 2023, 6:29 am
”Other problematic BlackRock affiliations cited by the senators included NZAM which it joined in 2021, as well as the Glasgow Financial Alliance for Net Zero (“GFANZ”). [read post]
26 Jun 2023, 9:01 pm
With the popularization of interstate banking, financial conglomeration, online and mobile banking, and the digital transformation of our economy, the banking system of today bears little resemblance to the banking system of three decades ago. [read post]
