Compensation
Compensation
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The Raymond James affiliated firm has been aggressively recruiting from wirehouses in recent months.
February 21 -
Lawmakers agreed to form a congressional committee that would look into multiemployer plans and develop a measure to fix these plans' insolvency woes.
February 20 -
The advisor persuaded the customer to liquidate his IRA and invest the money in a risky and costly options trading strategy the advisor managed, FINRA alleged.
February 20 -
Among recent career changes, Merrill Lynch lost brokers managing $2.2 billion to rival J.P. Morgan Securities.
February 20 -
The brokers previously worked at Wells Fargo, which has suffered from attrition to smaller rivals over the past year.
February 20 -
The right strategy can put them “in the 0% tax bracket,” an expert writes.
February 20 -
“We’re going from a Civic to a Cadillac,” advisor says of the move.
February 19 -
Taxation of retirement plan distributions and Social Security benefits remains unchanged under the new tax law, but retirees are likely to see an increase in after-tax income.
February 16 -
The high-net-worth and ultrahigh-net-worth segments are growing globally “faster than we can grow advisors to cover them.”
February 16 -
CEO Josh Pace credits the smaller custodian’s agreement to be sold to E-Trade for the move.
February 16 -
The proposed budget includes a provision that would give Medicare recipients the option to contribute to a health savings account, which would offer various tax benefits.
February 15 -
The move is the latest in trend of advisors leaving wirehouses for smaller firms.
February 15 -
Although smaller companies could be volatile, those that pay dividends tend to be more mature and profitable.
February 14 -
The firm is tapping a pool estimated by LPL to be as large as 1,200 brokers with $35 billion in client assets.
February 14 -
Robert Moore divided the firm's six IBDs into two channels, promoted a new COO and hired from a rival.
February 13 -
Raising the payroll tax is the easy way (in theory); here are other solutions for funding the Social Security shortfall.
February 13 -
A partnership could extend a firm's reach, while ethical investing portfolios offer clients more options.
February 13 -
Don’t worry about technology replacing advisors. On the contrary, use it to help fix the advisor shortage.
February 13 -
Underlying strategies make them more tax-efficient than actively managed mutual funds, an expert says.
February 13 -
"Simply put, the plaintiff here is looking to be paid the same money twice," a spokeswoman for the Swiss firm says.
February 13

















