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In the first full year under Atria Wealth, the firm added programs from banks and credit unions with $7 billion in assets.
April 26
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The 7,500-advisor network agreed to buy certain assets of Foresters Financial’s U.S. BD and RIA.
April 10
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The firm is dismissing hundreds of workers after a periodic review of staffing.
March 28
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Not knowing a FINRA rule can’t save an advisor from statutory disqualification.
February 26
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Fixed and variable contracts ended 2018 at nearly reverse levels of revenue from their totals three years earlier.
February 25
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The biggest bank merger in 10 years makes a lot of sense at the top levels, but some advisors may find their new home restrictive, an observer says.
February 7
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The past year brought major changes to the IBD network, including the sale of its majority stake and a structural reorganization.
February 5
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At Pimco, the fixed-income giant he co-founded, Bill Gross racked up one of the longest winning streaks of any money manager.
February 4
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CEO Dan Arnold pledged new tech-enhanced support for advisors as part of a larger cultural transformation.
February 1
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The robo advisor scouted several cities for a second location apart from its New York City headquarters.
January 31
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The custodian's newest fintech partnership is meant to keep data safe while dealing with third-party vendors.
January 31
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The senator’s presidential ambitions are becoming another headache for the Wells Fargo CEO.
January 30
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An analyst expects “solid” recruiting figures for the fourth quarter after the No. 1 IBD added the five-advisor group plus an ex-Raymond James bank program.
January 17
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The move follows calls for reform. Banned brokers, acting in lieu of attorneys, have made a living for decades representing investors.
January 4
