Amanda Schiavo

Ameriprise is looking to reverse a decline in its headcount.

The regulator found the firm was deficient on capital requirements and, on 84 occasions, did not accurately calculate its customer reserve requirements.

This is the second time in recent weeks that the firm has poached talent from the wirehouse.

These young planners share a commitment to hard work, but have deployed very different tactics in building their practices.

The advisor was drawn to the regional BD’s small culture.

The planner wasn’t happy with the direction his former firm was pushing its advisors.

The effort will allow other critical resources to be focused on more substantive matters such as examinations and licensing requirements.

The group hopes to have about 1,000 holders of its new retirement planning designation within three years.

New sections on real assets and passive investing vehicles are coming to the CIMA exam this summer.

‘This move highlights the increasing regulatory burdens faced by independents and the solutions that Stifel can offer,’ regional director Kevin Ortmeyer says.

Advisors have been ditching some of the larger firms for greater latitude.

The combination of the three practices will establish a key fiduciary advisor in the retirement planning industry.

The firm has appointed company veteran Doug Brigman to run the Tampa Bay complex.

Wells Fargo, Merrill Lynch, UBS and Morgan Stanley all lost talent in 2017.

The firm has been driving its expansion, pulling in talent from its competition.

The pair was drawn to the firm’s “similarly aligned” culture.

Stifel says the fact that it owns a bank — instead of being owned by one — is a big appeal in recruiting.

Among FINRA’s findings, it said the broker-dealer “unreasonably excluded” some employees who were handling customer accounts from email scrutiny.

The Landmark Group ditched the large firm for Fieldpoint Private, a boutique firm with 28 advisors.

The alleged failures stretched over a two year period, according to the regulator.