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A former RBC team that managed $200 million in client assets has signed on with Raymond James' Los Angeles office.
February 9
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No clarity on how regulators will decide to handle fiduciary standard proposed for broker-dealers, Schapiro said.
February 9 -
Following the success of her latest album and landing three Grammy nominations this year, the megastar's net worth is in the untold millions. With a Merrill Lynch advisor for a father, it begs the question: who is advising the pop star?
February 9
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The recruit takes on a new role as complex manager at the firms latest office in Birmingham, Ala.
February 6 -
Two veteran wirehouse advisors joined regional broker-dealer Wunderlich.
February 6 -
Merrill Lynch wants to position its wealth managers to better help their clients navigate the hurdles of old age.
February 5
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Two UBS advisors managing $170 million in assets joined Baird.
February 5 -
These firms have made advisor-friendly cultures a crucial part of their success in both retaining advisors and recruiting new ones.
February 5
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The industry regulator says increasing oversight of RIAs is a "top priority" as it appeals to Congress for a funding increase to hire more examiners.
February 3 -
Matt Lynch, a former B-D CEO, says his new boutique consulting startup will work alongside client firms through their most risky transitions.
February 3 -
Though the mutual fund provider will have a majority ownership in eMoney, the company will remain independent.
February 2 -
A Morgan Stanley advisor left the firm to join HighTower.
February 2
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Recruiters see a banner year for advisor moves, likening the landscape to a seller's market.
February 1 -
Recruiting activity will intensify as seven-year contracts begin to expire. Is now the time to cut a deal? Headhunters weigh in.
February 1 -
Large data pulls required in stepped-up SEC exam are not related to ongoing troubles at Girard parent RCS Capital or American Realty Capital, CEO says.
January 30 -
"I spent the first 21 years of my professional life in the broadcast industry. ... When youre on deadline, you almost have to become an instant expert," says Edward Jones advisor Alison Gilman Aquino.
January 29 -
Latest setback for Schorsch's financial empire as accounting firm steps aside.
January 29 -
Ameriprise Financial reported 33% year-over-year growth in wealth management profits.
January 28 -
A pair of sessions at the FSI OneVoice conference focused on recruiting and retention challenges facing IBDs, many of which center on hybrid or dually registered RIAs who are edging toward greater independence.
January 28
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Oppenheimer Holdings will pay $20 million to settle U.S. regulatory claims that it improperly sold billions of shares of penny stocks on behalf of an offshore brokerage.
January 27
