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Atria's WIS Opens Downtown San Jose Office

Atria's WIS Opens Downtown San Jose Office
apnews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from apnews.com Daily Mail and Mail on Sunday newspapers.

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NEXT Financial Group settles FINRA charges of supervisory failures for $750K

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A Houston, Texas-based midsize independent broker-dealer will pay $750,000 to settle a FINRA case for alleged systemic supervisory failures relating to excessive trading and variable annuities, according to the signed agreement.
The firm, NEXT Financial Group, was also censured and required to retain an independent consultant.
Atria Wealth Solutions, which acquired NEXT in June 2019, said NEXT has already enhanced its controls and remains focused on effective compliance practices that protect its advisors and their clients, according to a statement.
By settling, NEXT agrees to FINRA’s conditions without admitting or denying the findings.
From January 2012 through February 2019, NEXT allegedly failed to establish, maintain and enforce a supervisory system, including written supervisory procedures, reasonably designed to detect and prevent unsuitable short-term trading of mutual funds and municipal bonds in customer accounts and over-concentration ....

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$2B AUM Cedar Brook Group Quits Advisor Group for Atria

$2B AUM Cedar Brook Group Leaves Advisor Group for Atria
The move is the largest so far for the five-year-old Atria Wealth Solutions, a network of advisory firms backed by Lee Equity Partners.
Cadaret Grant, an independent wealth management firm and subsidiary of Atria Wealth Solutions, has recruited $2 billion AUM advisory team Cedar Brook Group. Cedar Brook Group was previously an office of supervisory jurisdiction for independent broker/dealer Securities America, a subsidiary of Advisor Group.
The 16-year-old OSJ carries $2 billion in assets under management and brings 49 people to Cadaret Grant. Twenty are licensed financial professionals. Cedar Brook is headed by CEO and founder William Glubiak and located in Cleveland and Strongsville, Ohio and West Bloomfield, Mich. ....

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OSJ with $2 billion switches to Cadaret Grant from Securities America

OSJ with $2 billion switches to Cadaret Grant from Securities America
Cedar Brook Group, led by William Glubiak, is based in Cleveland and oversees 20 licensed professionals.
April 28, 2021
Cedar Brook Group, a Cleveland-based office of supervisory jurisdiction administering $2 billion in assets, has changed affiliation from Securities America to Cadaret Grant, a unit of Atria Wealth Solutions.
Cedar Brook is led by William Glubiak, who founded the firm in 2005. It supervises 20 licensed personnel.
Green bonds are booming
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This Week in Wealth Management Deals

This Week in Wealth Management Deals
wealthmanagement.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from wealthmanagement.com Daily Mail and Mail on Sunday newspapers.

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