Content classifications

The IBD network added a community bank’s investment program after exceeding the goals it set at the beginning of 2020, its head recruiter says.

Some nominees poised to take their agencies in a new direction appear headed for Senate confirmation while an intraparty squabble has delayed the administration’s choice to lead the Office of the Comptroller of the Currency. Here’s the roster update.

The quartet of financial advisors range in age from their 20s to their 90s, and are the second group to sign with Dynasty this week.

The most gilded name on Wall Street has been dealt a blow with two top leaders from its Marcus consumer unit defecting to a new Walmart venture, mere weeks after they were elevated.

Career mobility and heightened client dependence are two unexpected by-products of extreme uncertainty, writes Jodi Perry.

While her predecessor led the organization through the 2008 financial crisis, Thasunda Brown Duckett is taking the top role at a time of different uncertainty.

The firm has 20 teams that cater to ultra-high-net-worth individuals in the Sunshine State, and has plans to double that over the next few years.

The growing practice’s founder dropped his FINRA registration after 14 years with KMS Financial Services.

Pete Dorsey is the latest member of TD Ameritrade’s leadership team to part ways with the company after it was acquired by Charles Schwab.

It’s complicated, but possible, to limit risk and liability when moving a practice.

The IBD unveiled its second major recruiting addition in as many months to kick off the year.

Rae becomes one of the few women leaders in financial services.

The team’s client base primarily consists of business owners, corporate retirement plans, families and individuals and retirees.

A team that has grown through acquisitions dropped the No. 1 IBD after the institution purchased another one for more than $600 million.

Among the new hires is Scott Collins, former head of brokerage independence and institutional sales consulting. He is one of many ex-TD Ameritrade alums seeking new employment after Charles Schwab acquisition’s of the firm.

Kathy Murphy played a key role in scaling the company’s retail advice channel.

The St. Augustine, Florida-based advisors specialize in high-net-worth families, business owners, executives and foundations.

The ex-Morgan Stanley and Merrill Lynch advisors join the wealth manager, which has been aggressively recruiting in recent months.

“The sheriff is coming to the preeminent financial regulator in the world,” said Justin Slaughter, a consultant at Mercury Strategies. “It means regulation and enforcement are about to get much tougher.”

Two former FINRA employees are joining the fast-growing brokerage app.