Andrew Welsch is a former managing editor of Financial Planning.
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The firm’s FA ranks at 14,820 were down by only nine brokers from the previous quarter.
July 16 -
Total broker head count dropped by 173 from the prior quarter, according to the wirehouse.
July 13 -
Five of the regional BD's new hires come from Wells Fargo.
July 12 -
The firm's two new hires are the latest in aggressive recruiting efforts and joined from rivals RBC and Wells Fargo.
July 11 -
The departure of thousands of brokers may free firms to pivot to different business models, an expert says.
July 10 -
Industry changes and ongoing bank scandals have tilted the playing field in favor of smaller brokerages.
July 9 -
Company policies were not reasonably designed to detect and prevent misconduct, the SEC claims after one advisor allegedly misappropriated more than $5 million from client accounts.
June 29 -
The move boosts the firm's expansion in the central U.S.
June 28 -
A former Goldman Sachs broker also joined the boutique firm's office.
June 26 -
The regional firm's new additions consist of two veteran advisors from Wells Fargo and a father-daughter duo from Merrill Lynch.
June 25 -
Her fresh criticism comes after FINRA barred her former Morgan Stanley branch manager this week.
June 21 -
David Reiser spent 10 years at the wirehouse where he worked with ultrawealthy clients and families.
June 20 -
One JPMorgan client thought it was “odd and weird” that the advisor called during the Memorial Day holiday, on behalf of Merrill Lynch.
June 19 -
The firm has been rolling out a robust suite of new and upgraded technology tools.
June 18 -
After a busy month nabbing talent from Wells Fargo, Raymond James picks up a team from Stifel.
June 15 -
The move is an early indication of how firms may react to the demise of the Labor Department regulation.
June 15 -
The acquisition will expand the Milwaukee-based firm's presence in the Northeast.
June 5 -
A client's alleged complaint sparked a dispute between the wirehouse and its former advisors.
June 4 -
Craig Schmell says the firm terminated him because of alcohol and drug addiction issues he had 30 years ago.
June 1 -
Attending to clients' non-financial needs helped propel Merrill Lynch advisor Dane Runia to No. 1 on the Top 40 Under 40 ranking.
May 31
