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The firm claims it is also missing important documents related to a large institutional client.
September 20
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The regional BD has picked up 15 advisors this month alone.
September 17
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The new hires build on the firm’s recent recruiting successes.
September 10 -
The new hires include a rare independent-to-employee career move.
September 4
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Both the regional BD and RIA have benefited from an exodus of wirehouse talent.
August 27
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Planners have been leaving bank-backed firms in droves in search of what they say is greater freedom and flexibility.
August 21 -
The regional BD's three hires come from Wells Fargo and Ameriprise.
August 9
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The firm promoted two insiders: David Sliney and Jim Marischen.
August 8 -
Raymond James, Janney, Ameriprise and Stifel are all racking up impressive hires from the wirehouses.
August 3
Mark Elzweig Co. -
The firm's brokerage ranks increased by just one advisor year-over-year.
August 1
