Ameriprise Financial

The No. 4 independent broker-dealer has unveiled two major recruiting grabs from its rivals in two weeks.

The firm’s headcount declined slightly in the quarter, but advisors’ productivity remains strong and growing.

The advisor fooled her victims into thinking she would invest their funds when in fact she used the money to buy luxury items and real estate, prosecutors claim.

The new hires say they were drawn to the firm’s investment platform, product offerings and investment diversification.

National Financial Services accused the brokers' former IBD of breach of contract in a case displaying the complexities of such moves.

The second-largest independent broker-dealer overcharged nearly 1,800 retail retirement accounts, the regulator says.

Ameriprise is looking to reverse a decline in its headcount.

CEO Jim Cracchiolo says the firm’s headcount is poised for growth again following a stagnant year.

The advisors joined the firm's recently opened office in Flint, Michigan.

On Wall Street unveils its annual ranking of successful young planners.

The change builds on earlier policy shifts at Ameriprise, which previously pulled more than 1,500 funds from its platform.

Team of 9 advisors is latest to depart amid transition to LPL.

Both advisors are attracted by Ameriprise’s technology and investment options.

The firm previously accused its former employee of using company stationery to continue to pass herself off as an Ameriprise advisor.

The duo is part of an ongoing exodus of wirehouse advisors to smaller regional firms and independent brokerages

The firm continues to expand in South Florida by adding a primarily fee-based advisor.

The partners took a different path than most in launching their own franchise practice.

CEO Jim Cracchiolo reported record client assets and a sharpened focus under the fiduciary rule.

The regional firm picks up six advisors, including a father and a son.

The father of the $141 million team worked for Raymond James for 12 years.