Organization Root Tag

The new recruits are the latest to join the regional firm from Wells Fargo.

The firm also granted its new chief stock options worth $4.8 million following a debt refinancing.

Nearly 60% of investors would explore changing firms if forced to switch, according to a J.D. Power study.

Over 50 advisers have now joined the independent firm, which is affiliated with Raymond James.

The barred broker used $2.5 million in client funds to buy a waterfront home in Rhode Island, authorities say.

As executives accept Trump's fiduciary rule delay, many have shifted their focus to the SEC's new reporting modernization regulation.

Education around these rules can prevent an increase in their tax bills.

Chris Harvey will oversee 420 advisers managing $110 billion in total client assets.

The regional firm has added at least 17 ex-wirehouse advisers in the first three months of the year.

The bank's retail brokerage operation employs 12 advisers and has approximately $780 million in advisory and brokerage assets.

One planner says there's no reasonable basis for a delay, while another says he can't afford all the compliance costs.

Here’s a roundup of the best quotes and most intriguing ideas we heard at the annual convention.

Market forces have wrought changes that can't be repealed, according to champions of the rule.

Tim Sloan, who rose to CEO in October, received $12.83 million, up from the $11 million he got as COO for 2015, according to a regulatory filing.

The rep initially alleged his wallet had been stolen and someone forged his signature. He later claimed he must have been drugged.

The funds have accounted for 27% of all trades since the election, 3 percentage points above average.

The regional broker-dealer has added at least a dozen ex-wirehouse advisers so far this year.

In one of the biggest bull markets in recent history, some mutual funds are still cheap by historical measures.

The firm’s equity partner channel added five breakaway wirehouse teams last year and 64 since 2008.

The new hires join the regional BD from Baird.