The bank used the advisor's name on its website long after he left the company, Finra said.
He replaces Jose Minaya who had led the division for four years.
SRM Private Wealth operates in Pasadena, Calif.
Advisor teams provide more services and have more assets, the research firm said,
The appointments include the former CEO of Apollo Global Management.
Ameriprise Financial Services claims Mitchell and Wesley McCann took confidential information after a move to LPL.
Redmond-based Joslin Capital Advisors was founded by Mike Joslin in 1999.
Five firms were merged into the Colony Group, and one was acquired by Kovitz.
Matthew Benson has helped enact state laws benefiting retirees on several fronts.
The Taggart Group of Florham Park, N.J., is headed by advisor Michael Taggart.
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