Recent Stories From This Author
A Wells Fargo advisor managing $115 million in assets has left the wirehouse for Raymond James & Associates.
Two Merrill Lynch advisors managing $227 million in assets have left to join Wells Fargo Advisors.
Raymond James recruited a former Merrill Lynch executive to head one its newest branch offices.
Q&A with Benjamin F. "Tad" Edwards IV, CEO and President of Benjamin F. Edwards & Co., on how he built up his firm to have 180 advisors in 24 states.
Regional firm Benjamin F. Edwards picked up a Wells Fargo advisor team.
Wealth management firms are positioning themselves to meet rising demand from millennial investors who want to better align their investments with their values.
Wells Fargo's elite Abbot Downing unit is adding a senior consultant to the team overseeing client education programs for ultrawealthy clients.
Two Morgan Stanley advisors managing $348 million in assets have left to join Wells Fargo Advisors.
A Raymond James advisor has left the firm to join U.S. Capital Advisors, a small regional wealth management firm experiencing rapid growth.
As a FINRA task force is scheduled to review the regulator's arbitration process, critics are charging that firms are using U5 termination forms to sully advisor reputations.
HighTower recruited a Merrill Lynch advisor team managing $800 million in assets.
Stifel Nicolaus picked up a Baird advisor managing over $170 million in assets.
Wells Fargo Advisors picked up an advisor team with $300 million in client assets from Morgan Stanley.
To meet rising client demand for digital services, Wells Fargo appointed Devon McConnell as its new head of Wells Fargo Advisors Digital to oversee development of the firm's mobile and online client platforms.
In an exclusive interview, Tash Elwyn, president of Raymond James & Associates, explains why the firm is enjoying recruiting success and where its future growth will come from.
After working in a nuclear power station, David Fisher decided it was time for a change. His new calling? Financial advisor.
The SEC charged an ex-UBS broker with defrauding elderly clients of $730,000, which she allegedly used for vacations, a country club membership, vehicles and clothes.
Focus Financial Partners named Dan Sontag, a former president of Merrill Lynch's global wealth management unit, to its board of directors.
Merrill Lynch has transitioned more than $100 billion onto its new platform, Merrill Lynch One, which executives say is the biggest technology upgrade in decades.
UBS Wealth Management Americas reported record revenues of $1.89 billion, but profits slipped 3% year-over-year, due in part to higher compensation expenses.