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Robert Cook, an attorney and former SEC director, will have to help the regulator navigate complicated matters , from calls for an industrywide fiduciary standard to heightened congressional scrutiny.
June 14
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The Gryphon Group generated $1.3 million in production before leaving the wirehouse.
June 13
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Robert W. Cook will replace Richard Ketchum, who announced his retirement last year.
June 13
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Hiring young planners is one thing but keeping them happy is another.
June 9
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The brokerage firm also added new members to its asset management team.
June 9
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William Heinzerling, who has led Stifel’s fixed-income business since 2009, is leaving the firm, according to people with knowledge of the matter.
June 8
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President Tom Naratil says the firm will recruit less, spend more on advisers already at the firm and give additional power to branch managers.
June 8
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John Zimmerman, president of an asset-management firm, will lead a team of approximately 10 professionals.
June 7
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The recruit was overseeing 100 advisers responsible for $15 billion in client assets before joining the breakaway firm.
June 7
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Prior to her financial services career, the recruit was a U.S. Army reservist working as a Russian linguist.
June 7
