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
News provided by
Share this article
Share this article
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
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
News provided by
Share this article
Share this article
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.
Share this article
Share this article
PHOENIX, Feb. 8, 2021 /PRNewswire/ Advisor Group, the nation s largest network of independent wealth management firms, today announced the appointment of Desireé Sii as President and CEO of SagePoint Financial, Inc. ( SagePoint ), effective immediately. Ms. Sii will be based in Phoenix and report to Advisor Group s President, Advice and Wealth Management, Greg Cornick. SagePoint s former CEO, Jeff Auld, recently announced his retirement.
As SagePoint enters its fifty-first year of operations, Ms. Sii s leadership strategy will be to build on the firm s impressive recruiting momentum while continuing to support the organic growth of its more than 1,300 affiliated financial professionals by leveraging Advisor Group s innovative suite of business services, including practice management coaching and consulting, succession and acquisition resources, marketing support and cutting-edge technology.