Latest registered investment advisor Stories
SAN DIEGO, Oct. 24, 2012 /PRNewswire/ -- LPL Financial LLC, the nation's largest independent broker-dealer* and a wholly owned subsidiary of LPL Financial Holdings Inc. (NASDAQ: LPLA), today announced that Gerber Kawasaki Wealth & Investment Management has transitioned to the LPL Financial broker-dealer and hybrid RIA platforms, bringing approximately $175 million of client assets. Based in Santa Monica, CA, Gerber Kawasaki focuses on wealth management for established families...
Susan Isaacson, CPA/PFS, JD, LLM (Tax), CFP® Adds Depth of Talent to Registered Investment Advisory Firm Bloomington, MN (PRWEB) October 09, 2012 Pakola, Steichen and Company (PSC) announced today that they have hired Susan Isaacson as a Registered Associate Advisor. Susan brings over 25 years of experience to the firm and has held Senior Manager level positions at some of the leading planning firms, including Deloitte and American Express. Susan specializes in sophisticated tax...
NEW YORK, Oct. 4, 2012 /PRNewswire/ -- (OTC Markets: FBCD) FBC Management today announced that it will focus its revenue production efforts on the new FBC Flowboard and other extreme sports-related products. FBC's new management team said that the Company's immediate objectives will be to bring the FBC Flowboard into production as well as specialty products for in the extreme sports industry. FBC director Kevin Wright, an extreme-sports industry veteran stated that, "Extreme sports is...
PenFed returns to its former broker dealer, implements new tech tools for members ALEXANDRIA, Va., Oct. 3, 2012 /PRNewswire-USNewswire/ -- CUSO Financial Services, L.P. (CFS), a full-service broker dealer and SEC Registered Investment Adviser that provides customized investment and insurance solutions to credit unions, announced today that PenFed (Pentagon Federal Credit Union) is back on its roster of investment program clients. (Logo:...
NEW YORK, Oct. 2, 2012 /PRNewswire -- (OTC Markets: FBCD) FBC Holdings, Inc.is pleased to announce that Kevin Wright has joined the FBC management team as a director. Mr. Wright has been involved in the extreme sports industry especially skateboarding since the early 90's and is the founder of the RMSBA Amateur Skateboarding Association and is the founder and President of AiroUSA, LLC a manufacturer and distributor of skateboard decks, extreme sports apparel, and the DUORail. The...
SAN DIEGO, Sept. 19, 2012 /PRNewswire/ -- LPL Financial LLC, the nation's largest independent broker-dealer* and a wholly-owned subsidiary of LPL Financial Holdings Inc. (NASDAQ: LPLA), today announced that Delaware Valley Financial Group (DVFG), a leading independent producer group, has affiliated with LPL Financial. As part of this process, 24 DVFG-affiliated licensed advisors are transitioning their securities registrations to LPL Financial. DVFG...
SEATTLE, Sept. 19, 2012 /PRNewswire/ -- Envestnet | Tamarac(TM), a division of Envestnet, Inc. (NYSE: ENV), is a leading provider of integrated, web-based portfolio rebalancing, performance reporting and customer relationship management software for independent advisors and wealth managers, began its annual User Conference today at Seattle's Bell Harbor International Conference Center. For the sixth consecutive year, financial advisors from around the country have convened for this...
JERSEY CITY, N.J., Sept. 17, 2012 /PRNewswire/ -- Albridge Solutions, Inc. (Albridge), an affiliate of Pershing LLC, a BNY Mellon company, today released an update to its 2010 white paper, "Broker Dealer Sales Practices Oversight: Secrets of Their Success." The new findings for 2012, which come from in-depth surveys with 53 broker dealer firms, show that compliance continues to be a major challenge for broker dealers. One of the most notable changes from the past two years is the...
SAN DIEGO, Sept. 12, 2012 /PRNewswire/ -- CUSO Financial Services, L.P. (CFS), a full-service broker dealer and SEC Registered Investment Adviser that provides customized investment and insurance solutions to credit unions, has returned PenFed (Pentagon Federal Credit Union) to its roster of investment program clients. PenFed previously offered its investment program through CFS for eight years, but moved briefly to another broker dealer to support other business ventures. After...
HOUSTON, Sept. 6, 2012 /PRNewswire/ -- Aztec Oil & Gas, Inc. (Pink Sheets: AZGSD) ("Aztec") announced today the pending release of an independent due diligence report by Duff & Phelps. This research report is expected to be released to broker dealer due diligence analysts immediately. "This is the most comprehensive financial, operational and background review that has ever been produced on our company. It resulted from our desire to be at the forefront of...
