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Stories of Interest
- Address at ICI's 2017 Securities Law Developments Conference - SEC Commissioner Stein
- New York Pension Fund Seeks More Pay Disclosure from Wells Fargo
- Wells Fargo Sanctions Are on Ice Under Trump Official
- Josh Brown: Here's How to Buy Bitcoin, But Realize It Could Be One Giant Bubble
- Trump's New Tax Plan Could Cost Citigroup $20 Billion
- Morgan Stanley Fires Former Congressman Harold Ford Jr.
- Al Franken Will Resign Over Sexual Misconduct Allegations - His Full Resignation Speech
- Ex-NFL Player Gets 40 Years for Running $10Mn Fraud
- Bitcoin Blows Past $15K, Adding $2K in Under 12 Hours
- Financial Adviser Settles Charges for Defrauding Private Equity Fund Investors
- New Cross Market Equity Supervision Report Cards - FINRA Phone-In Workshop, WebEx Presentation
- Mueller Just Crossed Trump's Red Line, With Deutsche Bank Subpoena
- Wildfire Rages Near Los Angeles
- Former Company Insider Has $4.1Mn Payday as a Whistleblower
- Audit Firm, Anton & Chia, Conducted Fraudulent Audits of Penny Stock Companies - SEC
- Mueller Subpoenas Deutsche Bank Records on Trump and Family
- Bitcoin Nearly Halfway to $400Bn Value Predicted by Winklevoss Twins 4 Years Ago
- Fidelity Clients Suffer Second Website Glitch in Week
- CBOE Beats CME to Bitcoin Futures Launch with December 10 Start
- McKinsey Senior Exec Thomas Barkin Named New Head of Federal Reserve Bank of Richmond
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NEWSLETTERS & ALERTS
New CLO and CFO Join Advisor Group of B/Ds, RIAs
Phoenix-based Advisor Group has a new CLO (Chief Legal Officer) and a new CFO/GC (Chief Financial Officer) – Nina McKenna and Greg Stockett, respectively. Both will report to Jamie Price, Advisor Group President and CEO.
Nina McKenna’s Credentials. Prior to joining Advisor Group, Ms. McKenna served was consultant to Cetera Financial Group (2016-2017), CLO and GC of Cetera Financial Group (2010-2016), Chief Counsel of ING Nederland (2003-2010), Counsel at Sonnenschein Nath (201-2003), and Regional Chief Counsel for NASD Regulation. (1985-2000).
Greg Stockett’s Credentials. Prior to joining Advisor Group, Mr. Stockett was CFO of REDI Global Technologies (2015-2017), CFO and COO of BondDesk (2008-2013), CFO of GoldenSource (2007-2008), and CFO of GlobeOp Financial Services (2005-2007).
Advisor Group is one of the nation’s largest networks of independent financial advisors, serving over 5,000 advisors and overseeing approximately $160 billion in client assets. The firm offers securities and investment advisory services through its B/D and RIA subsidiaries: FSC Securities, Royal Alliance Associates, SagePoint Financial, and Woodbury Financial Services.
Lightyear Capital, a PE firm, and PSP Investments, a pension investment manager, are majority owners of Advisor Group.