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Stifel, Nicolaus & Company picked up two wirehouse teams that managed more than $1 billion in combined AUM, boosting the St. Louis-based firm's presence in the Carolinas to 18 offices from 15.
May 9 -
Market Street will hardly be the only new kid on the block fighting for market share in New York.
May 9 -
Securities America picks up a team with $100 Million in client assets while a Goldman vet heads to CapWealth. Here's a roundup of some of the most recent moves among independent financial advisors.
May 9
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Kevin Keefe replaces Adam Antoniades as RCS boss shuffles executives for the first time since buying five IBDs.
May 8 -
Dynasty began to "unwind" its service agreement with Further Lane following SEC actions against the firm in late October 2013.
May 7 -
A former Morgan Stanley advisor team that managed $600 million in assets has left the wirehouse to join forces with HighTower.
May 6 -
Former wirehouse complex manager Tony Sirianni launches Sirianni Strategy Group, a consulting and marketing firm, to help independent firms attract wirehouse advisors.
May 6 -
Record net income from UBS Wealth Management Americas contributed to strong quarterly earnings for the Swiss bank.
May 6 -
Two former wirehouse advisors that managed more than $80 million in client assets have left Wells Fargo to join Raymond James & Associates, the firm's traditional employee/broker-dealer.
May 6 -
Douglas Cowgill, the firm's president and chief compliance officer, attempted to disguise the shortfall from SEC examiners by entering a fake trade in the firm's account records, according to the SEC complaint.
May 5
