Recent Stories From This Author
June 17, 2013
Wells Fargo Advisors has hired nine financial advisors from Morgan Stanley, Merrill Lynch and RBC Capital Markets with $1.12 billion in assets under management.
June 13, 2013
John David “J.D.” Joyce and his team moved to Wells Fargo Advisors Financial Network in Houston on May 23.
June 12, 2013
UBS gave its force of about 7,000 U.S.-based advisors new compensation incentives to use financial plans with clients this year. The plan increases the pay their financial advisors receive when creating those plans, and has resulted in an uptick in their adoption so far this year
June 12, 2013
Morgan Stanley has turned to Wells Fargo and UBS for new advisor hires for the second time this month.
June 5, 2013
UBS Wealth Management Americas has picked up a financial advisor from regional wealth management firm Hilliard Lyons with $475 million in assets under management.
June 5, 2013
Are you a wirehouse advisor with at least $93 million in assets under management? Then you are the kind of advisor asset management distributors most want to reach.
June 5, 2013
Morgan Stanley Wealth Management has tapped rival wirehouses UBS and Wells Fargo for four advisor hiress with $475 million in client assets under management and $4.5 million in production.
June 4, 2013
Former U.S. Senator and new SIFMA CEO Judd Gregg tells On Wall Street why the legislation is the wrong type of law.
June 4, 2013
As the performance of equities markets pushes employee confidence up, financial advisors need to make sure they still wave the caution sign when it comes to their clients’ goals, according to Bank of America Merrill Lynch.
June 1, 2013
This year, the leading wirehouse and regional wealth management firms took the steps necessary to ensure they reap rewards as markets hit new highs.
June 1, 2013
Wealth management executives call for more accountability and a new approach to client relationships.
June 1, 2013
A run-down of the stories in this issue, including ahow top firms fared in wealth management, and a look at what new regulations mean for the industry.
June 1, 2013
Age Wave President and CEO Ken Dychtwald discusses what that new retirement reality may look like.
May 29, 2013
Vishal Bakshi moved to Merrill Lynch’s Private Banking and Investment Group in New York after managing more than $1 billion in client assets at Credit Suisse.
May 28, 2013
As the baby boom population ages and average life expectancies climb higher, financial advisors must tackle one more topic in their conversations with clients: elder care. Morgan Stanley Wealth Management is now giving its advisors a new tool to help clients who need help caring for loved ones.
May 22, 2013
Rick Ketchum, CEO of FINRA, announced that the regulator will discuss a proposal at its board meeting in July that would require brokers to publicly disclose the compensation they receive when switching firms.
May 21, 2013
With markets at near historic highs, investor confidence still lags. Both regulators and financial firms share the responsibility to do something about it, said Richard Ketchum, CEO of FINRA on Tuesday.
May 20, 2013
The Financial Industry Regulatory Authority will present the latest on fiduciary rules, enforcement and other issues affecting financial advisors at its annual three-day annual conference opening today in D.C.
May 20, 2013
FINRA has increasingly put more firms on notice that they should expect their branch office doorbells to ring more often. In the past two years, FINRA has changed its approach when conducting examinations, favoring branch office inspections in lieu of the home office visits that it used to emphasize, said Susan Axelrod, executive vice president of regulatory operations at FINRA, at the self-regulatory organization’s annual conference on Monday.
May 20, 2013
SEC Commissioner Elisse Walter endorsed a uniform fiduciary standard for all investment pros … then invited her audience to fight industry fraud and abuse by becoming whistleblowers
