Brokerage firms

NY Auto Brokers Opposed to NY Auto Broker Ban

Retrieved on: 
Wednesday, July 28, 2021
Economy, Auctioneers, Real estate agent, Broker, Articles, Business, Brokerage firms, Residential real estate, Flat-fee MLS, Mortgage broker

Brokers work for the consumer to get them the deal that is right for them.

Key Points: 
  • Brokers work for the consumer to get them the deal that is right for them.
  • They are the good guys trying to help consumers and support their families- as many of them are small business owners.
  • According to Autolist , hiring a car broker is similar to hiring a professional such as a doctor, electrician, or real estate broker.
  • Brokers help their clients decide the make/model/lease term for their specific needs including mobility options for people with special needs.

Independent Financial Group Returns to In-Person Events with Annual National Conference

Retrieved on: 
Tuesday, July 27, 2021
Finance, Money, Brokerage firms, IFG, Economy, Broker-dealer, Broker, Carlsbad, California

SAN DIEGO, July 27, 2021 /PRNewswire-PRWeb/ -- Independent Financial Group, LLC (IFG), an independent broker-dealer known for its highly personalized service and support of its registered representatives, recently announced its annual National Conference will be held August 4-7, 2021 at the Omni La Costa Resort & Spa in Carlsbad, California.

Key Points: 
  • SAN DIEGO, July 27, 2021 /PRNewswire-PRWeb/ -- Independent Financial Group, LLC (IFG), an independent broker-dealer known for its highly personalized service and support of its registered representatives, recently announced its annual National Conference will be held August 4-7, 2021 at the Omni La Costa Resort & Spa in Carlsbad, California.
  • Independent Financial Group, LLC (IFG) is an independent broker-dealer known for serving the needs of more than 620 independent investment representatives in 376 offices across 40 states, including Puerto Rico.
  • IFG ranked #4 in Highest Percentage of Female Producing Reps in Financial Planning Magazine's 2020 IBD Elite Survey.
  • To learn more about Independent Financial Group, LLC, visit http://www.ifgsd.com.

Cipperman Compliance Services Announces Addition of Two Senior Professionals

Retrieved on: 
Tuesday, July 27, 2021
Finance, Money, Financial markets, Economy, Brokerage firms, Chief compliance officer, Corporate governance, Regulatory compliance, Broker-dealer, Financial technology

WAYNE, Pa., July 27, 2021 /PRNewswire/ -- Cipperman Compliance Services (CCS), the leading independent provider of chief compliance officer (CCO) services to money managers, broker-dealers, registered funds, family offices, private equity firms, and regulated fintech companies, today announced the addition of two senior compliance professionals to the firm's staff.

Key Points: 
  • WAYNE, Pa., July 27, 2021 /PRNewswire/ -- Cipperman Compliance Services (CCS), the leading independent provider of chief compliance officer (CCO) services to money managers, broker-dealers, registered funds, family offices, private equity firms, and regulated fintech companies, today announced the addition of two senior compliance professionals to the firm's staff.
  • CCS continues to add senior professionals to meet the demand for its industry-leading CCO outsourcing service.
  • Frank Ingraham has nearly 20 years of experience providing broker-dealer compliance services.
  • Cipperman Compliance Services is the leading independent provider of chief compliance officer services to money managers, broker-dealers, registered funds, family offices, private equity firms, and regulated fintech companies.

SEC Charges 27 Financial Firms for Form CRS Filing and Delivery Failures

Retrieved on: 
Monday, July 26, 2021
Finance, Money, Economy, Brokerage firms, Financial markets, Financial adviser, Gurbir Grewal, Broker-dealer, Gurbir, Registered Investment Adviser

The SEC also required firms to prominently post their current Form CRS on their website, if they had one.

Key Points: 
  • The SEC also required firms to prominently post their current Form CRS on their website, if they had one.
  • Registration with the SEC as an investment adviser or broker-dealer comes with mandated filing and disclosure obligations, said Gurbir S. Grewal, Director of the SECs Enforcement Division.
  • By failing to file, deliver, and post this form, these firms deprived their clients and customers of the benefits of that information.
  • Eastside Financial Advisors LLC , a Fayetteville, New York-based investment adviser, has agreed to pay a $10,000 civil penalty.

Intero Real Estate Services-East Bay Expanding to the Central Valley!

Retrieved on: 
Monday, July 26, 2021
REIT, Other Construction & Property, Residential Building & Real Estate, Commercial Building & Real Estate, Construction & Property, Brokerage firms, Auctioneers, Real estate agent, Mortgage broker, Fremont, California, Economy, Geography of California

Tracy presents a great opportunity to be a difference maker not only in the real estate business but in the neighborhoods we service.

Key Points: 
  • Tracy presents a great opportunity to be a difference maker not only in the real estate business but in the neighborhoods we service.
  • The brokerages success has also received recognition in Real Trends top 500 brokerages in the country; voted the Best Real Estate Brokerage in Fremont, Best of Silicon Valley, Best of East Bay and many others year after year.
  • In addition to offering residential and commercial services, Intero East Bay provides award-winning Relocation services, as well as property management and mortgage services.
  • Through the Intero Foundation-East Bay, continuing fundraising, and agents generously donating portions of their commissions, Intero East Bay has been able to support local childrens and senior non-profits with over $300,000 in grants.

Jorge Sonville Joins Insigneo’s Network From Merrill Lynch

Retrieved on: 
Monday, July 26, 2021
Banking, Accounting, Professional services, Finance, Finance, Brokerage firms, Money, Investment, Primary dealers, Subprime mortgage crisis, Merrill, Financial adviser, Broker-dealer, Registered Investment Adviser, Merrill Lynch & Co.

Insigneo, the Miami-based Independent Broker-Dealer and Registered Investment Advisory firm has incorporated new top talent from Merrill Lynch as Financial Advisor Jorge Sonville has joined the firms independent network based in Miami as Managing Director.

Key Points: 
  • Insigneo, the Miami-based Independent Broker-Dealer and Registered Investment Advisory firm has incorporated new top talent from Merrill Lynch as Financial Advisor Jorge Sonville has joined the firms independent network based in Miami as Managing Director.
  • View the full release here: https://www.businesswire.com/news/home/20210726005086/en/
    Jorge was born in Lima, Peru, and has lived in Ecuador, Chile, and Portugal.
  • "Having honed my knowledge and financial acumen for the past 27 years at Merrill Lynch, I understand that todays clients seek more sophisticated and complex solutions than ever before.
  • He spent the next 27 years at Merrill Lynch, and in 2003 he expanded his team presence by moving to the Miami International office.

Javelin Securities Sponsored Qualified Opportunity Zone – Darwin Mine

Retrieved on: 
Thursday, July 22, 2021
Professional services, Natural Resources, Venture capital, Mining, Minerals, Financial markets, United States securities law, Finance, Money, Brokerage firms, Financial Industry Regulatory Authority, Broker-dealer, Security

View the full release here: https://www.businesswire.com/news/home/20210722005287/en/

Key Points: 
  • View the full release here: https://www.businesswire.com/news/home/20210722005287/en/
    Jack Stone receiving the award for the top American Opportunity Zone Project.
  • Wally Sullivan, CEO of Javelin Securities and sponsor of the Inyoag OZ Fund commented: Its critical that U.S. mines like Darwin come back online to keep pace with the Green Technology Revolution.
  • This is the only independent mining project of its kind being offered within an Opportunity Zone.
  • Javelin Securities is a FINRA registered broker dealer focused on vetting and raising capital for Qualified Opportunity Zone projects.

LPL Financial Welcomes West End Advisory Group

Retrieved on: 
Thursday, July 22, 2021
Brokerage firms, Finance, Money, LPL Financial, Investment, Financial adviser, Registered Investment Adviser, Broker-dealer, QNB Bank

CHARLOTTE, N.C., July 22, 2021 (GLOBE NEWSWIRE) -- LPL Financial LLC (Nasdaq: LPLA) announced today that financial advisors Joe Roddy CFP, Steve Mayer CFP, and Laurie Elfrank of West End Advisory Group have joined LPL Financials broker-dealer, corporate registered investment advisor (RIA) and custodial platforms.

Key Points: 
  • CHARLOTTE, N.C., July 22, 2021 (GLOBE NEWSWIRE) -- LPL Financial LLC (Nasdaq: LPLA) announced today that financial advisors Joe Roddy CFP, Steve Mayer CFP, and Laurie Elfrank of West End Advisory Group have joined LPL Financials broker-dealer, corporate registered investment advisor (RIA) and custodial platforms.
  • We look forward to a long-lasting partnership with the entire team at West End Advisory Group.
  • Securities and advisory services offered through LPL Financial LLC, an SEC- registered broker-dealer and investment advisor.
  • West End Advisory Group and LPL Financial are separate entities.

Blaser Investment Management Group Eyes Growth in Move to Commonwealth

Retrieved on: 
Tuesday, July 20, 2021
Religion, Finance, Consulting, Banking, Small business, Accounting, Professional services, Consumer, Finance, Money, Financial advisors, United States securities law, Economy, Brokerage firms, Registered Investment Adviser, Financial adviser, Commonwealth Financial Network, Securities Investor Protection Corporation, Financial Industry Regulatory Authority, Independent Financial Adviser

Commonwealth Financial Network, a national firm dedicated to providing advisor-focused business solutions, announces the addition of Blaser Investment Management Group of Burlington, North Carolina, to its network of independent financial advisors.

Key Points: 
  • Commonwealth Financial Network, a national firm dedicated to providing advisor-focused business solutions, announces the addition of Blaser Investment Management Group of Burlington, North Carolina, to its network of independent financial advisors.
  • Blaser and his team will continue to develop and cherish long-term relationships with clients and their families who desire investment management and personalized financial planning from fiduciaries.
  • The inclusive, relational culture at Commonwealth is a top reason we made this change, Blaser said.
  • Commonwealth Financial Network, Member FINRA/SIPC, a Registered Investment Adviser, provides a suite of business solutions that empowers more than 2,000 independent financial advisors nationwide.

Systematic Hedge Fund, Dark Forest, Now Live on FlexONE

Retrieved on: 
Tuesday, July 20, 2021
Finance, Banking, Professional services, Technology, Software, Finance, Money, Brokerage firms, Investment, Prime brokerage, Execution management system, Hedge fund, Order management system, Financial markets, Share trading

FlexTrade Systems (@FlexTrade), a global leader in multi-asset execution and order management systems, today announced that new quantitative trading client, Dark Forest Technologies, is now live on the firms OEMS platform - FlexONE.

Key Points: 
  • FlexTrade Systems (@FlexTrade), a global leader in multi-asset execution and order management systems, today announced that new quantitative trading client, Dark Forest Technologies, is now live on the firms OEMS platform - FlexONE.
  • Michael DeAddio, Chief Operating Officer at Dark Forest Technologies, said, FlexONE simplifies the coding and back-end efforts needed to support our high volume, international, multi prime broker business.
  • Ultimately this lets clients like Dark Forest focus their efforts on alpha-generating projects while FlexTrade manages the entire order life cycle.
  • FlexONE, FlexTrades all-inclusive order/execution management system (OEMS), is designed to facilitate and streamline the demanding trading requirements of global hedge funds.