NFP Securities

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  SEC, FINRA, DOL Enforcement Roundup: 8 Charged for Insider Trading on Pharma Deal

  By Marlene Y. Satter, AdvisorOne  |  August 30, 2012

  Among the recent actions taken by the regulators were a settlement of $1.27 million to be paid by an advisory firm to 13 pension plans and charges in an insider trading ring.

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  The 2012 Broker-Dealers of the Year: How You Picked Them; Where They Placed

  By John Sullivan, AdvisorOne  |  August 21, 2012

  Investment Advisor readers' choices for the 22nd annual Broker-Dealers of the Year: those BDs that placed second and third in the balloting, along with details on the voting process.

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  National Financial Partners Buys Fusion Advisor Network

  By James J. Green, AdvisorOne  |  July 12, 2012

  Fusion, a consulting network to advisors, will become part of BD NFP Advisor Services Group; its founder, Stuart Silverman, will remain.

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  Indie Broker-Dealers Face Struggle to Survive: Cerulli

  By Joyce Hanson, AdvisorOne  |  May 1, 2012

  The things that advisors love about independent broker-dealers also give rise to the problems that make survival difficult in the channel, according to a Cerulli report.

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  Fusion Names Industry Veteran Salameh as Chief Marketing Officer

  By James J. Green, AdvisorOne  |  September 9, 2011

  Former TD Ameritrade marketing director will provide marketing consulting services to advisors affiliated with Fusion Advisor Network, led by Philip Palaveev and Stuart Silverman.

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  Broker-Dealer NFP Securities Changes Its Name, Sharpens Its Focus

  By James J. Green, AdvisorOne  |  March 2, 2011

  According to James Poer, over the past two to three years NFP Securities has quietly changed its focus.

• Jeff Montgomery Named Chairman of AFAM

  By James J. Green, AdvisorOne  |  July 2, 2010

  company formerly known as Al Frank Asset Management, has named its CEO, Jeff Montgomery, as Chairman, effective August 1, 2010.

• Catching Up With...

  By James J. Green, AdvisorOne  |  May 1, 2010

  When we last reported on a conversation with Jeff Montgomery in these pages, the former NFP Securities honcho had recently become CEO of Al Frank...

• Insurance lessons never learned

  By John Sullivan, AdvisorOne  |  February 1, 2010

  Why aren't more so-called "comprehensive" advisors handling insurance in-house? Can they really get a clear understanding of a client's financial picture if the insurance portion...

• Who's Your Daddy?

  By Bob Clark, AdvisorOne, Bob Clark, AdvisorOne  |  September 1, 2008

  Maybe it's just me, but when one of our industry luminaries leaves their well-established position to take on a new job, it piques my curiosity....