Three advisor group joins boutique broker-dealer/RIA
SCF Securities announced Thursday that three Kauai-based advisors have transitioned to independent broker-dealer SCF Securities and its custodian-neutral corporate RIA, SCF Investment Advisors.
The three man team has offices in Lihue, on the island of Kauai, and Honolulu, on the island of Oahu. They collectively manage approximately $60 million in assets.
FINRA invites SCF Chief Compliance Officer to serve on discussion panel
SCF Securities, an independent boutique broker-dealer headquartered in California, announced today that Rick Almaguer, SCF’s chief compliance officer, has been invited to serve on a panel alongside FINRA and SEC officials on May 8, 2012.
The panel will hold its presentation at FINRA’s district office in San Francisco, California. The discussion will probe items related to branch supervision and inspections.