Search for: "Affiliated Financial Group, Inc."
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22 May 2019, 1:09 pm
He was previously employed by The Advisors Group, Inc. [read post]
24 Feb 2012, 2:44 pm
He was registered with Cambridge Way, Inc. from 02/2004-07/2006, Synergy Investment Group, LLC from 06/2006-06/2008, and Institutional Capital Management, Inc. [read post]
28 Feb 2014, 10:49 am
Prior to that she was employed by The Leaders Group, Inc. [read post]
19 Nov 2020, 12:24 pm
Prior to that, he was affiliated with Proequities, Inc. for ten years. [read post]
4 Sep 2013, 3:17 pm
Knapp is a former broker of Dawson James Securities, Inc. [read post]
9 Sep 2022, 8:12 am
Whited was reportedly affiliated with the following broker dealers and investment advisors, among others: B, 10/06/2020 – 11/15/2021, INTERCAROLINA FINANCIAL SERVICES, INC. [read post]
17 May 2023, 12:30 pm
CFP Board Announces Imposed Sanctions on 22 Certified Financial Planners The CFP Board refers to the Certified Financial Planner Board of Standards, Inc. [read post]
22 Nov 2009, 10:13 pm
To that end, Axiant has entered into a stalking horse term sheet with NCO Group, Inc. providing for a proposed sale price of between $7 and $10 million. [read post]
24 May 2013, 2:13 pm
Edwards & Son, Inc. from 08/2004 – 02/2007, Ameriprise Advisor Services, Inc. from 02/2007 – 05/2009, and LPL Financial, LLC from 05/2009 – 05/2013. [read post]
4 Apr 2011, 9:02 am
$29,000 Notman Financial Group (affiliated with Berthell Fisher) $20,000 Capital Quest Securities Inc [read post]
15 Dec 2014, 8:01 am
Selling away occurs when a financial advisor solicits investments in companies or promissory notes that were not approved by the broker’s affiliated firm. [read post]
19 Dec 2010, 11:40 pm
You can find our update post at: http://www.netdocketsblog.com/2010/12/townsends-bankruptcy-updates-creditors.html#axzz19ey8CHX7 On Sunday, December 19, 2010, Townsends, Inc. and four affiliates - Townsend Farms, Inc.; Townsends of Arkansas, Inc.; Townsend Farms of Arkansas, Inc.; and Crestwood Farms LLC - voluntarily filed for chapter 11 bankruptcy protection in Delaware. [read post]
29 Mar 2012, 4:25 pm
The group is led by several former and current Ameriprise plan participants. [read post]
21 Sep 2015, 5:28 am
John’s Health System Inc., which owns and operates a hospital in Springfield, Missouri, and its affiliate, Mercy Clinic Springfield Communities, formerly known as St. [read post]
8 Jan 2013, 6:31 am
As such, The White Law Group is investigating other avenues of recovery. [read post]
15 Jun 2022, 2:51 am
(See: Did your Financial Advisor Recommend Investing in Non-Traded REITs?) [read post]
6 Dec 2016, 9:32 am
UBS and its affiliated firm, UBS Financial Services Inc. of Puerto Rico, have already paid millions of dollars due to client losses in Puerto Rico proprietary closed-end bond funds filled with Puerto Rico municipal securities issued by various authorities and agencies. [read post]
10 Nov 2023, 7:44 am
(CRD#:127724), CANTON, OH, B, 05/14/2013 – 12/31/2016, EDI FINANCIAL, INC. [read post]
25 Apr 2019, 10:59 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Michael Olinde (Olinde), currently associated with Capital Financial Services, Inc. [read post]
16 Dec 2010, 8:46 am
$29,000 Notman Financial Group (affiliated with Berthell Fisher) $20,000 Capital Quest Securities Inc [read post]
