Advisor Group is broken into separate units: Woodbury Financial Services headquartered in Minnesota, Royal Alliance in N.J., SagePoint Financial out of Arizona, and FSC Securities Corporation based in Georgia. All four entities have had regulatory histories with various state agencies, ...

Sagepoint Financial, Inc. Sandlapper Securities, LLC SCF Securities, Inc. Sentinus Securities, LLC Silber Bennett Financial, Inc. Stephen A. Kohn & Associates, Ltd Triad Advisors, LLC Uhlmann Price Securities, LLC United Planners’ Financial Services of America, LP Vanderbilt Securities, LLC Vestech ...

Recently, Osaic Services was fined $250K after its predecessor firm SagePoint Financial was found to have failed to establish a supervisory system that would have prevented excessive trading and unsuitable options trading. Continue Reading ›

Did You Suffer Portfolio Losses While Working With Ex-SagePoint Financial Broker Thomas Corsaro? Former NY Financial Advisor Sentenced in $1.7M Investment Fraud Shepherd Smith Edwards and Kantas ( investorlawyers.com ) are investigating claims of losses by clients of ex-SagePoint Financial ...

Barred SagePoint Financial Broker Accused of Selling Away Grant Christopher Birkley, an ex-SagePoint Financial stockbroker, is named in two pending customer disputes. He is accused of selling investment products that were not approved by his firm.

Former Texas Stockbroker Founded Nest Financial in Austin Our GPB private placement lawyers are investigating investment losses suffered by former customers of ex-SagePoint Financial registered representative, Daniel G. Dillard.

The other Advisor Group broker-dealers include Woodbury Financial Services, FSC Securities, SagePoint Financial, Royal Alliance Associates, and FSC Securities Corporation. Continue Reading ›