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An advisor team with nearly half a billion dollars under management has left AXA frustrations with how the firm structures its compensation plan.
February 24 -
Schwan Financial Group's Prepared Heirs program helps advisors connect with second-generation clients.
February 24 -
With the advisor population aging and looking to retire, more wealth management firms are stepping up their efforts to recruit and train a new generation of advisors.
February 23 -
The company reports asset and revenue growth but "regrettable" advisor attrition.
February 21 -
Cambridge's Amy Webber says promotion is next step in complex internal succession plan.
February 20 -
The firm has landed an advisor team with $225 million in assets under management from Morgan Stanley.
February 20 -
Bank Investment Consultant is compiling its ranking of the best program managers in the bank channel. Be sure to get your nominations in.
February 20 -
John Lindsey, who left Edward Jones in 2012 and won a FINRA arbitration case against his former firm last summer, has launched The Bold Advisor to provide support, guidance and information to breakaway advisors.
February 19 -
RBC Wealth Management is expanding its presence in Texas. The Minneapolis-based broker-dealer has added six veteran financial advisors from Morgan Stanley to its office in Austin, Texas.
February 18 -
The board approved a rule proposal that would impose new limits on financial advisors' ability to remove information about customer disputes from BrokerCheck.
February 14 -
Hot on the heels of record revenues for 2013, LPL plans to repurchase nearly 2 million shares from one its largest shareholders.
February 13 -
Puerto Rican investors are lining up for arbitration with UBS AG over losses when the commonwealth's bonds plunged last year.
February 13 -
LPL Financial is positioning itself as a simplifying agent for advisors facing a stream of new technological innovation.
February 12 -
The country's largest independent broker-dealer attracts 110 net new advisors in the fourth quarter.
February 11 -
In her first major action as head of the unit, Wells Fargo Advisors president Mary Mack announced late last week a plan to split the Financial Services Group into three separately managed units.
February 10 -
Retiree-focused Cherrington Brotsky left Morgan Stanley to join broker-dealer FSC, a member of Advisor Group.
February 10 -
From suitability and complex products to cyber-security and data integrity, where do broker-dealers start? Here's an overview of some of the areas that FINRA or SEC examinations will likely focus on at firms in the coming year.
February 10
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Securities America and United Advisors have recruited Kevin Hughes, a top former Morgan Stanley branch manager, to head up their new hybrid independent wealth advisory business.
February 6 -
Ameriprise reported strong earnings boosted by robust growth from the firm's wealth management unit.
February 5 -
If an advisor is offered 360% of trailing-12, this app will break down the details: how much is upfront and how much is doled out for various thresholds along the way. Plus, annual payout bonuses will be revealed.
February 4
