Broker Dealer
Securities America acquires another broker-dealer September 27, 2016

Securities America acquires another broker-dealer

Securities America acquires another broker-dealer Purchase of Wall Street Financial Group is the firm's ninth and second in as many months Sep 26, 2016 @ 9:36 am | By Bruce Kelly| Investment News For the second time in as many months, Securities America Inc. said it was acquiring the assets of another broker-dealer. Securities America,…
Erica McGinnis stepping down as CEO of Advisor Group August 2, 2016

Erica McGinnis stepping down as CEO of Advisor Group

  Erica McGinnis stepping down as CEO of Advisor Group Aug 1, 2016 @ 9:12 am | By Christine Idzelis | Investment News The broker-dealer network is seeking a new chief executive as Valerie Brown temporarily fills the role Erica McGinnis is stepping down from her role as president and chief executive officer of Advisor…
Securities America Announces Plans to Buy Foothill Securities August 2, 2016

Securities America Announces Plans to Buy Foothill Securities

    Securities America Announces Plans to Buy Foothill Securities August 2, 2016 | by Beth Glavosek | Blue Vault Securities America – one of the nation’s largest independent broker/dealers – has announced its plans to acquire Foothill Securities. Foothill Securities currently has 220 registered representatives and generated $39.8 million in total revenue with a…
LPL, Cambridge and others in ‘serious’ talks to buy Foothill Securities May 13, 2016

LPL, Cambridge and others in ‘serious’ talks to buy Foothill Securities

"It's not a lot of fun to be a broker-dealer these days," says firm chairman John Burroughs May 10, 2016 @ 11:34 am | By Bruce Kelly | Investment News Foothill Securities Inc., an adviser-owned independent broker-dealer with 220 registered reps under its roof, is in “serious discussions” to be acquired by a larger firm, according to…
Triloma Announces 2015 Growth Activity March 11, 2016

Triloma Announces 2015 Growth Activity

Investment firm exceeds equity raising goals in its first year of operations Feb. 17, 2016 | by Triloma ORLANDO, Fla. (Feb. 17, 2016) – Triloma Securities (“Triloma”) announced today the results of its syndication activity in 2015. The firm, which commenced broker-dealer operations on April 23, 2015, surpassed its equity raising goals for the year…
VII Peaks BDC II Dealer Manager Quits February 25, 2016

VII Peaks BDC II Dealer Manager Quits

Feb 24 2016 | DI Wire Axiom Capital Management Inc., a full-service broker-dealer, terminated its dealer management agreement with VII Peaks Co-Optivist Income BDC II Inc., a non-traded business development company, according to a filing with the Securities and Exchange Commission. Axiom served as a non-exclusive managing broker-dealer in the BDC’s continuous offering of common…

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