July 27, 2017 10:16 AM ET

Capital Markets

Company Overview of FAS Holdings, Inc.

Company Overview

FAS Holdings, Inc., through its subsidiaries, provides full service brokerage and investment services to retail clients through independent contractors, financial consultants, brokers, and dealers. The company through its subsidiary First Allied Securities, Inc. provides securities transaction processing and investment products to a network of 500 independent financial consultants. FAS Holdings, Inc. also provides intermediary clearing for small broker and dealers through its Western Securities Clearing Corp unit. The company was incorporated in 1993 and is based in San Diego, California. FAS Holdings, Inc. operates as a subsidiary of First Allied Holdings Inc.

655 West Broadway

12th Floor

Suite 1700

San Diego, CA 92101

United States

Founded in 1993

Phone:

619-702-9600

Key Executives for FAS Holdings, Inc.

Vice President, Secretary, and Treasurer
Vice President of Business Development, First Allied Securities, Inc.
Compensation as of Fiscal Year 2017.

FAS Holdings, Inc. Key Developments

Disclosure Statement and Reorganization Plan Approved for RCS Capital Corporation & Affiliates and Cetera Financial Holdings, Inc. & Affiliates

The US Bankruptcy Court approved the fourth amended joint plan of reorganization and disclosure statement for RCS Capital Corporation and second amended joint prepackaged plan of reorganization and disclosure statement for Cetera Financial Holdings, Inc. on May 19, 2016.

Fourth Amended Reorganization Plan Filed by RCS Capital Corporation

RCS Capital Corporation filed a fourth amended plan of reorganization in the US Bankruptcy Court on May 9, 2016. As per the amended plan filed, there were no amendments related to treatment of different claim classes. The debtor filed a revised fourth amended plan of reorganization in the Court on May 10, 2016. There were no changes in the revised plan.

Second Amended Joint Prepackaged Reorganization Plan Filed by Cetera Financial Holdings, Inc. and its Affiliates

Cetera Financial Holdings, Inc. and its affiliates, filed second amended joint prepackaged chapter 11 plan of reorganization in the US Bankruptcy Court on May 9, 2016. As per the amended plan filed, General Unsecured Claims-Cetera Affiliates shall receive payment on account of such claims which are “riding through” the Chapter 11 cases as if the Chapter 11 cases had not been commenced. There were no amendments related to change in treatment of different claim classes. Cetera filed a revised second amended joint prepackaged chapter 11 plan of reorganization in the US Bankruptcy Court on May 10, 2016. There were no changes in the revised plan.

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