Compliance

Tag Archives
financial-advisors-from-kauai

Hawaii advisors say custodian-neutral environment, technology critical to IBD move

November 4, 2013by Grant Cox in News tagged , , , , , ,

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.

Read more

Compliance Officer to Sit on FINRA Panel

March 8, 2012by Grant Cox in News tagged , , ,

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.

Read more