NFP ADVISOR SERVICES LLC

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/05/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E062005012702 Department of Enforcement Financial Industry Regulatory Authority ("FINRA") NFP Securities, Inc. Member Firm CRD No. 42046 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, NFP Securities, Inc. ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference E062005012702data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/16/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025618702 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: NFP Advisor Services, LLC (f/k/a NFP Securities, Inc.), Respondent Member Firm CRD No. 42046 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent NFP Advisor Services, LLC. ("NFP," the "Firm," or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference 2011025618702data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/06/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007011393902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: NFP Securities, Inc., CRD No. 42046. Respondent Pursuant to Rule 9216 of FINRA Code of Procedure, Respondent NFP Securities, Inc. (the "Firm" or "NFPSI") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2007011393902data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016273001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: NFP Securities, Inc., Respondent CRD No. 42046 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, NFP Securities, Inc. ("NFP" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2009016273001data-portal.finra.org finra.org

Other names1

Also known as1

NFP SECURITIES INC.

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