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John Lindsey, who left Edward Jones in 2012 and won a FINRA arbitration case against his former firm last summer, has launched The Bold Advisor to provide support, guidance and information to breakaway advisors.
February 19 -
RBC Wealth Management is expanding its presence in Texas. The Minneapolis-based broker-dealer has added six veteran financial advisors from Morgan Stanley to its office in Austin, Texas.
February 18 -
Eaton Vance Corp., the money manager known for its focus on tax-efficient investing, appointed Goldman Sachs Group Inc. executive Edward J. Perkin as chief equity investment officer.
February 14 -
The board approved a rule proposal that would impose new limits on financial advisors' ability to remove information about customer disputes from BrokerCheck.
February 14 -
Hot on the heels of record revenues for 2013, LPL plans to repurchase nearly 2 million shares from one its largest shareholders.
February 13 -
The BAM Alliance, a community of more than 140 independent wealth management firms across the U.S., has added nationally-known financial author and blogger Tim Mauer as its director of personal finance.
February 13 -
Puerto Rican investors are lining up for arbitration with UBS AG over losses when the commonwealth's bonds plunged last year.
February 13 -
LPL Financial is positioning itself as a simplifying agent for advisors facing a stream of new technological innovation.
February 12 -
A prominent provider of custodial services to RIA firms takes a big step to upgrade its core technology platform.
February 12 -
Focus has assisted in a series of high-profile moves, Convergent pulled a director from Evercore and LPL and Commonwealth swapped firms. Here's a roundup of some of the most recent advisor moves in the independent channel.
February 11
