Regional BDs

The firm has been driving its expansion, pulling in talent from its competition.

The pair was drawn to the firm’s “similarly aligned” culture.

Stifel says the fact that it owns a bank — instead of being owned by one — is a big appeal in recruiting.

Among FINRA’s findings, it said the broker-dealer “unreasonably excluded” some employees who were handling customer accounts from email scrutiny.

The Landmark Group ditched the large firm for Fieldpoint Private, a boutique firm with 28 advisors.

Advisors are jumping to firms with established infrastructure.

The seven new hires joined both the independent and employee channels.

Some brokerage firms are concerned that the tax overhaul could spur their employee advisors to set up their own shops or switch firms to lower their tax bills.

The change builds on earlier policy shifts at Ameriprise, which previously pulled more than 1,500 funds from its platform.

Nearly two dozen mega teams switched employers, but few went to a wirehouse.