-
SunTrust's chief risk officer will lead the Consumer Banking and Private Wealth Management business.
October 16 -
An advisor who had been at Merrill Lynch for 20 years left the wirehouse to join UBS.
October 15 -
An advisor who moved to a wirehouse from a boutique offers guidance on finding a firm that will offer greater job satisfaction and also benefit clients.
October 15
-
Barclays lost a team to RBC, the latest defection since the British-owned firm agreed to sell its brokerage unit to Stifel. This is the first to go to a regional brokerage instead of a wirehouse or high-profile boutique.
October 15 -
The new recruits will work in the firm's philanthropic solutions office.
October 13 -
The rep was ejected for failing to cooperate with a FINRA investigation into allegations that she stole money from a retail bank customer.
October 13 -
John Brynjolfsson, after creating an $80 billion asset management business at Pimco and a $1 billion hedge fund on his own, will downsize to a $16 million mutual fund during the next stage of his career.
October 12 -
Credit Suisse's losses include a three-member team that generated $7.2 million in annual revenue, which joined UBS.
October 8 -
Planner Brittney Castro takes an unorthodox route to prospecting young clients and if you don't like it, she's like, you know, cool with that.
October 7 -
John Brynjolfsson, the chief investment officer of Armored Wolf, said he is closing the money management firm to outside investors and converting it into a family office.
October 6 -
A recruit from M.J. Whitman heads to the regional broker's employee channel.
October 6 -
The bank's wealth management group is gearing up for more business in Nevada now that it has the ability to deliver trust services in the state.
October 5 -
A longtime wirehouse advisor with $48 million in AUM has joined regional broker-dealer Wunderlich.
October 5 -
"We can shuffle women from one firm to the next all day long, but we're still going to be at that 15%," says Michelle Lynch, director of Raymond James' Network for Women Advisors.
October 2 -
The group of 5 advisors will be opening a new office for the regional broker.
October 1 -
The team made the move in part to be able to grow in new directions, says senior financial advisor Tommy Boyd.
October 1 -
The team left the wirehouse to form their own independent firm, representing one of the largest groups that Dynasty has helped go independent.
September 29 -
The OAKS Wealth Management Group has a combined $3.2 million in production.
September 28 -
The discussion of what happens to an advisors book is parallel to the conversations that advisors should be having with their clients: Prepare for the future and the unexpected, says recruiter Elizabeth McCourt.
September 25 -
"It's like being Superman and Clark Kent," says Michael H. Jacobs, a producing branch manager at RBC.
September 25











