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Janney Montgomery Scott lured away a husband-wife team from Wells Fargo Advisors.
October 31 -
FINRA promotes Richard W. Berry to lead its arbitration unit.
October 30 -
Ameriprise's executive vice president says the firm has spent a lot of resources, especially in the major markets and major cities, establishing training programs to bring new advisors into this business.
October 29 -
Ameriprise CEO Jim Cracchiolo credited growth in the firm's fee-based businesses and wealth management unit for the company's robust overall performance.
October 29 -
Edward Jones Managing Partner James Weddle says the firm grows organically, recruiting from colleges and even the military for new advisors.
October 28 -
UBS Wealth Management Americas reported that profits surged 17% year-over-year
October 28 -
An advisor team has left J.P. Morgan to join regional wealth manager Janney Montgomery Scott, opening a new office in Rhode Island.
October 22 -
A former BofA Merrill Lynch Team who felt wronged after being terminated has signed on with full-service brokerage firm Stifel Financial.
October 22 -
On Wall Street extends its deadline for its annual ranking of the top 40 advisors under age 40.
October 21 -
Independent firm Snowden Lane Partners recruited another wirehouse advisor team, this time from Merrill Lynch.
October 21 -
A Wells Fargo advisor team that managed $200 million in assets has left to join Steward Partners, an independent firm founded a year ago by former wirehouse managers.
October 21 -
Latest Morgan Stanley advisor additions around the country bring a combined $565M in AUM and over $3M in revenue.
October 20 -
Merrill Lynch grows its Chicago presence by hiring UBS team with $500M in AUM and nearly $5M in revenue.
October 20 -
Expanding its advisor ranks, small broker-dealer Jefferies announced the hire of a rio of Barclays veterans that bring a focus on REITs and MLPs.
October 20 -
Looking at the range of services received by clients in all advisory channels, traditional wirehouses take the lead in catering to high-end client needs, according to research from Cerulli Associates.
October 20 -
Agency secures $4 billion in penalties; expert says: make sure that you have a robust and dynamic compliance program.
October 17
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Morgan Stanley Wealth Management saw profits jump 17% for the 3rd quarter, despite a 1% drop in the firm's advisor workforce.
October 17 -
Stifel Financial brings in a veteran Morgan Stanley advisor for a newly created client office in West Chester, Pa.
October 16 -
The SEC plans an enforcement action against a former Wells Fargo compliance officer for altering report.
October 15 -
Waddell & Reed picked up an advisor from rival Edward Jones.
October 15
