Brokerage firms

CommunityAmerica Financial Solutions Partnering with Riskalyze

Retrieved on: 
Wednesday, June 30, 2021
Finance, Money, Economy, Brokerage firms, Financial markets, Registered Investment Adviser, Financial adviser, Broker-dealer, Financial Industry Regulatory Authority

"With our knowledge and understanding of how credit unions approach investments with their members, partnering with Riskalyze allows us to continue to offer advisors best-in-breed technology to help them manage their members' financial and investment plans," stated Mike Haggerty, President of CAFS.

Key Points: 
  • "With our knowledge and understanding of how credit unions approach investments with their members, partnering with Riskalyze allows us to continue to offer advisors best-in-breed technology to help them manage their members' financial and investment plans," stated Mike Haggerty, President of CAFS.
  • "Successful long-term financial outcomes are built by investors making one good short-term decision at a time, and that only happens when great financial professionals equip them to do so," said Aaron Klein, CEO at Riskalyze.
  • "It's so great to see CommunityAmerica using Riskalyze to help their clients understand and react to risk more appropriately, because that's ultimately how amazing financial professionals turn clients into fearless investors."
  • CommunityAmerica Financial Solutions ("CAFS") is an SEC registered investment advisor, FINRA registered Broker-Dealer and state registered insurance agency offering a breadth of investment and financial planning services to credit union members across the country.

Mischler, Nation’s Oldest Diversity-Certified Investment Bank Owned & Operated by Military Veterans Adds Two More Seasoned Capital Market Professionals

Retrieved on: 
Tuesday, June 29, 2021
Professional services, Defense, Small business, Finance, Banking, Other Defense, Finance, Financial markets, Money, Investment, Brokerage firms, Mischler Financial Group, Mischler, NatWest, Financial services, Investment banking, Broker-dealer, Credit Suisse

Mischler Financial Group, Inc. (Mischler), the financial industrys oldest diversity-certified investment bank owned and operated by service-disabled veterans, today announced the further expansion of the firms capital markets desk with the hiring of industry veterans Tom Ritchie, CFA, and Mark Jicka.

Key Points: 
  • Mischler Financial Group, Inc. (Mischler), the financial industrys oldest diversity-certified investment bank owned and operated by service-disabled veterans, today announced the further expansion of the firms capital markets desk with the hiring of industry veterans Tom Ritchie, CFA, and Mark Jicka.
  • View the full release here: https://www.businesswire.com/news/home/20210629005652/en/
    Mischler Financial Adds Mark Jicka (l) and Tom Ritchie, CFA (r) to veteran-owned investment bank's capital markets team.
  • Prior to NatWest, Mr. Ritchie was Managing Director and Head of Financial Institutions Debt Capital Markets for Credit Suisse.
  • Established in 1994, Mischler is the securities industrys oldest diversity-certified broker-dealer owned and operated by Service-Disabled Veterans.

Brighton Securities Announces the Acquisition of Worth Considering, and the Creation of Brighton Securities Capital Management

Retrieved on: 
Tuesday, June 29, 2021
Finance, Money, Economy, Investment, Investment advisory, Financial adviser, Portfolio management, Primary dealers, Subprime mortgage crisis, Brokerage firms

Upon closing of the transaction, Brighton Securities will create Brighton Securities Capital Management Inc ("BSCM"), a new RIA providing investment advisory and portfolio management services to financial advisors and individual clients.

Key Points: 
  • Upon closing of the transaction, Brighton Securities will create Brighton Securities Capital Management Inc ("BSCM"), a new RIA providing investment advisory and portfolio management services to financial advisors and individual clients.
  • Jai Ramachandran, Chief Executive Officer of Brighton Securities, said, "We are excited to welcome the Worth Considering clients and team to Brighton Securities.
  • Worth Considering's approach to exceptional service and customized asset mixes is complementary to our team's focus on serving the needs of our clients.
  • "Brighton Securities provides a wealth management platform that is rich in talent and resources," said David Peartree.

Principal Financial Group® Announces Results of Strategic Review

Retrieved on: 
Monday, June 28, 2021
Consulting, Professional services, Insurance, Finance, Finance, Money, Financial markets, Brokerage firms, Securities Investor Protection Corporation, United States securities law, Broker-dealer

This thorough and intensive review considered strategic fit, client needs, financial impact, and the risk profile of our business lines.

Key Points: 
  • This thorough and intensive review considered strategic fit, client needs, financial impact, and the risk profile of our business lines.
  • Principal Financial Group (Nasdaq: PFG) is a global financial company with 18,000 employees passionate about improving the wealth and well-being of people and businesses.
  • Principal Funds, Inc. is distributed by Principal Funds Distributor, Inc. Securities offered through Principal Securities, Inc., 800-247-1737, member SIPC and/or independent broker/dealers.
  • 1695703-062021
    Principal, Principal symbol design and Principal Financial Group are trademarks and service marks of Principal Financial Services, Inc., a member of the Principal Financial Group.

Adam Schwartz Joins Amherst Pierpont as Head of Structured Credit Business

Retrieved on: 
Monday, June 28, 2021
Finance, Money, Investment, Investment banks, Primary dealers, Structured finance, Brokerage firms, Financial markets, BNP Paribas, Structured product, Broker-dealer

NEW YORK, June 28, 2021 /PRNewswire/ --Amherst Pierpont Securities LLC, a market-leading independent fixed-income broker-dealer, today announced the appointment of Adam Schwartz to Managing Director and Head of the firm's Structured Credit Business.

Key Points: 
  • NEW YORK, June 28, 2021 /PRNewswire/ --Amherst Pierpont Securities LLC, a market-leading independent fixed-income broker-dealer, today announced the appointment of Adam Schwartz to Managing Director and Head of the firm's Structured Credit Business.
  • Prior to joining Amherst Pierpont, Mr. Schwartz held senior banking, structuring and origination roles in credit structuring at Morgan Stanley and BNP Paribas.
  • Mr. Schwartz will lead Amherst Pierpont's existing structured credit team in both primary issuance and secondary trading as the firm continues to expand upon its fixed-income and structured product offerings to serve its rapidly growing client base.
  • His strong reputation, demonstrated expertise and extensive relationships within structured credit will be invaluable to our CLO related efforts," said Joe Walsh, Chief Executive Officer of Amherst Pierpont.

M-Vest and Maxim Group LLC to Host Future of Shipping Virtual Conference on Tuesday June 29th, 2021

Retrieved on: 
Monday, June 28, 2021
Finance, Money, Financial markets, United States securities law, Brokerage firms, Securities Investor Protection Corporation, Municipal Securities Rulemaking Board, Financial Industry Regulatory Authority, U.S. Securities and Exchange Commission, Broker-dealer, Security, Investment banking

Maxim Group is a full-service investment banking, securities and wealth management firm headquartered in New York.

Key Points: 
  • Maxim Group is a full-service investment banking, securities and wealth management firm headquartered in New York.
  • The Firm provides a full array of financial services including investment banking; private wealth management; and global institutional equity, fixed income and derivatives sales & trading, equity research and prime brokerage services.
  • Maxim Group is a registered broker-dealer with the U.S. Securities and Exchange Commission (SEC) and the Municipal Securities Rulemaking Board (MSRB).
  • M Vest LLC is a registered broker-dealer with the U.S. Securities and Exchange Commission (SEC), is a member of FINRA and SIPC, and is a sister company of Maxim Group, LLC .

Sanctuary Wealth Welcomes Another Billion Dollar Team to Network with mFORCE Capital

Retrieved on: 
Friday, June 25, 2021
Finance, Money, Financial services, Primary dealers, Subprime mortgage crisis, Brokerage firms, Stock market, Merrill, Wealth management, UBS, Financial adviser

mFORCE Capital is the eighth team in Texas to choose partnered independence with Sanctuary Wealth and brings the total of new assets added to the network this year to more than $6.5 billion.

Key Points: 
  • mFORCE Capital is the eighth team in Texas to choose partnered independence with Sanctuary Wealth and brings the total of new assets added to the network this year to more than $6.5 billion.
  • It's really a testament to what Sanctuary Wealth has become in such a short period of time," saidJim Dickson, CEO and Founder of Sanctuary Wealth.
  • Joining Brad at mFORCE Capital from his team at Merrill is Joanna Horton, who will serve as COO, Wealth Management Advisor.
  • The Sanctuary Wealth Group includes the fully owned subsidiaries Sanctuary Advisors, a registered investment adviser, and the broker-dealer Sanctuary Securities, as well as Sanctuary Alternative Solutions, Sanctuary Insurance Solutions, Sanctuary Global, and Sanctuary Global Tax and Family Office.

M&T Bank Joins LPL Financial’s Institution Services Platform

Retrieved on: 
Thursday, June 24, 2021
Brokerage firms, LPL Financial, Finance, Money, Financial adviser, Financial services, QNB Bank

SAN DIEGO, June 24, 2021 (GLOBE NEWSWIRE) -- LPL Financial LLC today announced that the retail brokerage and advisory business of M&T Bank (NYSE: MTB) has joined LPLs Institution Services platform.

Key Points: 
  • SAN DIEGO, June 24, 2021 (GLOBE NEWSWIRE) -- LPL Financial LLC today announced that the retail brokerage and advisory business of M&T Bank (NYSE: MTB) has joined LPLs Institution Services platform.
  • We are proud to serve M&T Bank with the comprehensive support of LPLs Institution Services platform, said Rich Steinmeier, LPL Financial managing director and divisional president, Business Development.
  • M&T Bank and LPL Financial signed an agreement in July 2020 to transition support of the banks retail advisory and brokerage business to LPL.
  • In particular, LPL can provide no assurance that the assets reported as serviced by M&T Banks retail financial advisors will translate into assets serviced at LPL.

Radius Financial Inc. Announces 7 Key Management Hires to Handle Its Tremendous Growth

Retrieved on: 
Thursday, June 24, 2021
Mortgage, Brokerage firms

"Radius Financial is a broker-centric mortgage lender focused on providing exceptional service to our customers.

Key Points: 
  • "Radius Financial is a broker-centric mortgage lender focused on providing exceptional service to our customers.
  • Hiring the best of the best is crucial for delivering the experience our brokers and their customers need in today's competitive market.
  • Alex Haditaghi, Chairman and founder of Radius Financial commented, "Exceptional service starts with exceptional culture and people.
  • Wehave attracted some of the best talent in the industry to Radius Financial to provide the exceptional service that we are known for.

Bank of America Launches Personal Retirement Strategy, a New Digital Investment Advisory Program

Retrieved on: 
Wednesday, June 23, 2021
Other Consumer, Technology, Women, Finance, Consulting, Banking, MEN, Professional services, Internet, Consumer, Finance, Money, Financial services, Primary dealers, Brokerage firms, Subprime mortgage crisis, Merrill, Bank of America, UBS, Financial adviser, Broker-dealer, Registered Investment Adviser

Bank of America today announced the launch of Personal Retirement Strategy, a new digital investment advisory program.

Key Points: 
  • Bank of America today announced the launch of Personal Retirement Strategy, a new digital investment advisory program.
  • Personal Retirement Strategy provides all plan participants regardless of age or income with a retirement plan and personalized investment strategy through an intuitive digital experience with full mobile and online capabilities.
  • With Personal Retirement Strategy, we are connecting employees to the personalized retirement income planning resources they need to take charge of their financial future, said Tom Matarazzo, Institutional Retirement Advisory Programs executive at Bank of America.
  • CIO viewpoints are developed for Bank of America Private Bank, a division of Bank of America, N.A., (Bank of America) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (MLPF&S or Merrill), a registered broker-dealer, registered investment adviser and a wholly owned subsidiary of Bank of America Corporation (BofA Corp.).