Industry

The regional BD’s new advisors managed a total of $225 million in assets at Wells Fargo and Merrill Lynch.

The regional BD started its 2019 recruiting year with a bang.

The division’s chief investment officer and head of multi-asset solutions will take over in the interim as co-heads.

The proposed regulations also provide guidance for taxpayers who hold interests in regulated investment companies.

Overseeing money for the rich is supposed to be one of the best businesses in banking, but even the world’s biggest wealth manager is finding that it doesn’t always work out like that.

As the SEC furloughs workers, the consequences are rippling across the entire wealth management industry.

The reduction, which includes 15% of senior management, is part of a larger effort to cut costs and automate more business.

The regional BD has been on a red-hot recruiting streak.

Chau Pham alleges that her breaks to pump breast milk became a topic of conversation among male co-workers,

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.