On Wall Street

Recruitment

Sponsored by Ameriprise Financial

• UBS Hires Raft of Veteran Merrill Brokers

  January 27, 2012

  UBS Americas Wealth Management said it hired at least 14 veteran Merrill Lynch brokers who in total managed more than $2 billion in client assets at Merrill.

• The Year of Movement

  January 1, 2012

  Our annual recruiters roundtable: dissatisfaction in the ranks and the end of blind loyalty translates into advisors on the move.

• Five Steps to a Smart Succession Plan

  October 1, 2011

  Calculating the worth of your practice requires placing a value on different types of capital.

• Job Seekers Say Interviews Toughest at Goldman Sachs, Edward Jones

  June 17, 2011

  Most say job interviews at leading financial institutions are generally good experiences, according to anonymous reviews from job seekers posting to the online community website Glassdoor.com

• Why Your Firm Needs Human Capital

  June 13, 2011

  Successful advisory firms make intelligent, strategic choices in hiring, compensating and developing employees.

• Securities America Circulates Loyalty Pledge Ahead of Looming Sale

  June 10, 2011

  Securities America, the broker-dealer firm owned by Ameriprise Financial, may be closer to a sale amid word that its reps and advisors are being asked to sign loyalty pledges -- a common practice that often occurs when the sale of a company is being negotiated.

• Banks, Wirehouses Brace For More Breakaway Brokers, Advisors

  June 7, 2011

  Giant financial institutions and wirehouses that spent fortunes attracting and retaining top-producing brokers and wealth managers over the past few years may be about to get socked with a big wave of departures this year and, especially, in 2012.

• UBS Hires Two BofA Merrill Lynch Advisors In Ohio

  June 3, 2011

  Financial advisors Tom Ulrich and Nick Bryant join UBS’ Akron, Ohio office as UBS expands its Ohio financial advisor force.

• LPL Shareholders Approve Exec Compensation

  May 26, 2011

  The shareholders approved a $5.7 million package for Casady, which included an $800,000 salary, $2.2 million bonus and option awards of $2.6 million.

• 75% of Broker-Dealers, RIAs Plan to Hire in 2011

  May 24, 2011

  They plan to boost their staff by 30% over the next 12 months, Fidelity finds.

• U.S. Trust Announces Senior Hires in Northeast and Midwest

  May 19, 2011

  The unit of Bank of America Private Wealth Management said Wednesday that it hired Greg Khost as a managing director and regional executive in Florham Park, N.J., Donald R. Quattrucci, as a managing director and market investment executive in Rhode Island, and Nancy E. Anderson, as a senior vice president and private client advisor in Minneapolis.

• Morgan Stanley Fires Office Complex Director

  May 18, 2011

  Frank LaRosa, a senior vice president and office manager at Morgan Stanley Smith Barney’s Philadelphia branch has been terminated, a firm spokesman confirms.

• UBS Hires 15 Financial Advisors

  May 18, 2011

  The new recruits previously handled $1.5 billion in assets under management at Bank of America Merrill Lynch, Citi Private Bank, Morgan Stanley Smith Barney and Oppenheimer Holdings.

• BNY Mellon Wealth Promotes Pair to Expand International Wealth Business

  May 18, 2011

  Myriam Soto and Douglas Schaenen will serve in new managing director roles, working to help expand BNY Mellon’s international wealth management business.

• Morgan Stanley Hires Four Advisors From UBS, Ameriprise

  May 16, 2011

  Shawn Liebel and Kevin Forney join Morgan Stanley from UBS, while Robert Coloret and Mark Delmar join from Ameriprise.

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