Regional BDs

Jim Cracchiolo aims to boost the number of clients receiving comprehensive plans through a series of tech upgrades for advisors next year.

This quarter the firm brought on 14 new advisors, who advised more than $1.1 billion in client assets at their former firms.

A Florida court will hear a client’s claim that the firm charges processing fees that had ranged as high as 10 times more than the stated purpose: transaction and clearing costs.

“High-touch” support, technology and firm culture played a part in career changes for seven advisors.

Schwab, Vanguard and LPL explained their approach to campaign donations as the industry and its supporting sectors provided $19 million in PAC contributions.

Earlier this year, Jason Kirkland was recognized for his “many contributions” to the firm.

Being an independent advisor isn’t for everyone.

Gratz Park Private Wealth will offer internships and shadow programs to college women interested in business.

More than half of the broker-dealer’s new hires come from Wells Fargo.

Robert DuKate initially stayed behind when his partner, David Katz, switched firms. Eight months later, he followed along.

The advisors join the regional firm from Morgan Stanley and Wells Fargo.

The advisors say they violated no contracts and took no confidential client information when they resigned from the bank.

The regional BD has picked up 15 advisors this month alone.

This is the third such suit the bank has filed against former advisors in recent months.

The regional broker-dealer’s head count jumped up to 1,824 in the third quarter.

The firm’s recruiting streak continues with this latest wirehouse hire.

The new hires build on the firm’s recent recruiting successes.

On Wall Street annually honors the work of the industry's elite leaders.

This is the first move of Joseph Chu’s financial career, but it’s not the wirehouse’s first big loss this year.

A total of 155 new advisors have joined Ameriprise in the last two quarters, and they keep coming.