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Stories of Interest
- Citigroup Raises CEO Corbat's Pay 48% to $23Mn
- Should Congress Create a Crypto-Cop?
- JPMorgan Weighs Buying an Exchange-Traded Funds Firm
- Hey, Goldman Sachs: Wanna Buy BNY Mellon?
- SEC Order Rejecting Acquisition of Chicago Stock Exchange (CSX) by Chinese-Baesd Company
- Kyle Moffatt Named Chief Accountant in SEC CorpFinance
- SEC Suspends Trading in 3 Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology
- Karen Garnett, Assoc. Director of SEC CorpFinance, to Leave After 23 Years of Service
- Louisiana Adviser Barred for Hiding Losses from Investors
- Connecticut HF Manager Illegally Diverted Investor Money - Now Owes Nearly $13Mn
- White House Cleaning House of Advisors Without Full Security Clearance
- Goldman Projects 30% Growth in Wealth Management Advisor Force
- Whistleblower Alleges Manipulation of CBOE Volatility Index
- FINRA Looking Into VIX (CBOE Volatility Index) Manipulation: WSJ
- Atlanta-Area Resident Charged with Misusing Investor Funds - SEC
- FINRA Announces 2018 West Region Networking Seminar
- Alberto Arevalo, Associate Director in Office of International Affairs, to Retire From SEC
- A Culprit for Financial Site Glitches: You and Your Apps
- Investor Protection, Capital Formation and Market Integrity Are Top Priorities in SEC Budget Request
- We Must Stop Out-Of-Control Trading or U.S. Capitalist System Will Break Down - Dick Bove
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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.