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Firms of all sizes have helped push fee-based business above commissions as the industry undergoes a transformation.
June 18
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After a busy month nabbing talent from Wells Fargo, Raymond James picks up a team from Stifel.
June 15
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The firm’s principal says his team wanted to join the No. 1 IBD, which is testing larger recruiting offers.
June 15
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Three advisors who left the firm years ago are returning to the regional broker-dealer.
June 15
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Fiduciary advocates lament the absence of the term from the SEC's rule, which they say fails to move beyond FINRA’s existing suitability standard, while the brokerage sector sees the proposal as a welcome jump in oversight.
June 15
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Wealth Enhancement Group has nearly doubled its assets over a two-year period.
June 15
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The firm aligned its brokerage business with Private Client Services following a big acquisition and a major executive hiring.
June 14
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The advisor told the client that she could pre-pay her advisory account fees at a discount by writing him a $7,400 check, FINRA claimed.
June 14
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Other states are likely to enter similar agreements with the broker-dealer.
June 13
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Before agreeing to settle a client’s complaint, advisors should look for this key clause in the contract.
June 11
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Although the industry reflects stark disparities, these firms are leading their peers in the hiring of female registered representatives.
June 11
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The advisor was accused in a lawsuit in January of swindling a Georgia couple out of $330,000 in retirement savings.
June 11 -
The move marks the fifth new office added by the hybrid RIA this year.
June 11
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The CEO of Pershing Advisor Solutions sees an opportunity for RIAs in the potential restrictions on a term that has stoked criticism.
June 7
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The clearing and custody firm also announced $50 million in new investments to fuel its advisory business.
June 7
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As firms position their advisors to compete for future clients, diverging strategies have developed.
June 6
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While such an act may seem like career suicide, it can in fact be a move to do just the opposite, according to attorneys.
June 5
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The No. 7 IBD has unveiled five new internal classifications for practices in an effort, it says, to boost the customization of its services for advisors.
June 5
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At least seven firms with outside RIAs have left the No. 1 IBD since it announced a change in policies last November.
June 5
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A client's alleged complaint sparked a dispute between the wirehouse and its former advisors.
June 4
