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The new recruit joins the regional BD from Hilliard Lyons.
January 23
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A husband and wife alleged they were advised to cash out nearly $1 million of their pension money for risky investments, according to their lawyer in FINRA arbitration.
January 12 -
Plus: A Morgan Stanley grab totals $410 milllion in combined AUM and more than 30 other job changes.
January 10
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The new recruit, who started with the wirehouse's predecessor firm Smith Barney, has been in the industry since the late 1990s.
January 4
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One of the recruits has more than two decades of experience.
December 28 -
The group is led by a veteran adviser who started her career in the late 1980s.
December 28
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The recruit oversaw $110 million in client assets while working for the wirehouse, according to the regional firm.
December 27
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The biggest advisers to go it alone this year managed over $13 billion in client assets.
December 20
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The fast-growing firm has recruited 25 advisers this year, and is affiliated with Raymond James.
December 19
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"I lose years of my life. They can settle, write a check and move on," says an adviser whose book of business dropped by $40 million after he alleges he was wrongfully terminated.
December 19
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Help clients avoid costly mistakes when enrolling in these essential programs.
December 16
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Collectively, this year’s mega movers managed more than $23 billion in client assets.
December 15
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The group of industry veterans had $1.7 million in annual production, according to the regional BD.
December 15
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From regulators to technology providers to CEOs, these are the players who will remake wealth management in 2017.
December 14
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The advisers had about $1.5 million in annual revenues when they were at the wirehouse, according to the regional firm.
December 6 -
CEO Paul Reilly will take over for Tom James, who helped grow the firm into a major industry player.
December 1
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The regional firm picks up a recruit whose career in financial services began 25 years ago.
November 30 -
The team's three advisers all worked at the wirehouse for more than two decades.
November 28 -
The recruits switched over to the independent channel of the regional firm.
November 28 -
The team leader is an industry veteran who spent 23 years at Wells Fargo and its predecessor A.G. Edwards.
November 22
