Raymond James Financial

The hybrid RIA pivots to take on Dynasty as a platform provider, offering equity as a sweetener.

New recruits hailed from firms including Wells Fargo, Merrill Lynch and Raymond James.

The “get” marks one of the largest hires the year for the regional BD.

The firm is relying on firm reputation and word-of-mouth referrals for growth.

The employee and independent BD collected excess UIT commissions and failed to properly review inactive accounts, the regulator says.

Some advisory firms are rethinking whether absolute independence is still the best — and most cost-effective — option.

While there are now 1,100 advisors who are women at the firm, they make up less than 16% of the headcount.

Only about 14% of financial advisors are female. Here’s advice from those who want to bridge that gap.

The new recruits include a father-and-son duo in Orlando.

So far this year, Janney has onboarded 36 financial advisors. The newest team managed more than $290 million in client assets.