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The seven advisors managed more than $450 million in combined client assets.
September 22 -
The former broker allegedly also used his client’s money to pay bills at gas stations, grocery and hardware stores, according to the regulator.
September 11 -
This follows another August acquisition — an ex-UBS team that managed $1 billion in assets.
August 25 -
The advisors staff the regional BD’s 17th office in Michigan, where it has been on a recruiting streak.
August 14 -
They all spent over a decade at their former firm.
August 12 -
Three of the quartet join the South Dakota office, while the fourth is in Washington state.
July 23 -
The group had been at their previous firm for 14 years.
July 20 -
The regional BD is drawing advisors from coast to coast — even in states where the coronavirus is on the upswing.
June 30 -
One team is among the top producers in their region, and the other spent more than two years assessing potential employers.
June 8 -
Grid stretches, small account policy changes — it’s a lot to keep track of. On Wall Street’s annual compensation report is here to help.
May 13