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Merrill Lynch Wealth Management is putting the spotlight on advisor training with its appointment of Racquel Oden as head of new advisor development.
February 27 -
That makes for two big recruits in two days. A day after announcing the addition of a $1 million team from Wells Fargo, the firm has landed a second million-dollar team.
February 27 -
The firm has enticed away an advisor team with $1 million in production from Wells Fargo for its Bartlett, Ill., office.
February 26 -
The husband-and-wife team is the eighth team to join HighTowers New York headquarters.
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 -
The firm has landed an advisor team with $225 million in assets under management from Morgan Stanley.
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 -
Puerto Rican investors are lining up for arbitration with UBS AG over losses when the commonwealth's bonds plunged last year.
February 13 -
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 -
UBS reported strong earnings for the fourth quarter, boosted by record profits from its wealth management divisions.
February 4 -
Julius Baer Group, Switzerland's third-largest wealth manager, said profit declined 30% last year as it absorbed Merrill Lynch businesses acquired from Bank of America.
February 3 -
A UBS team of advisors with a billion dollars under management has left the Swiss bank to form IFM Capital Advisors, an independent registered investment advisor, with the aid of Focus Financial Partners.
January 29
