Updated Wednesday, October 22, 2014 as of 8:28 AM ET
On Wall Street Extends Deadline for its Annual 40-Under-40 Ranking
On Wall Street extends its deadline for its annual ranking of the top 40 advisors under age 40.
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How do the services you offer compare to what clients of advisors across the industry are receiving? A new study of 4,000 advisors by Cerulli Associates tracks the planning services clients receive across all advisor channels. more »
Looking at the range of services received by clients in all advisory channels, traditional wirehouses take the lead in catering to high-end client needs, according to research from Cerulli Associates. more »
Agency secures $4 billion in penalties; expert says: “make sure that you have a robust and dynamic compliance program.” more »
Stifel Financial brings in a veteran Morgan Stanley advisor for a newly created client office in West Chester, Pa. more »
Waddell & Reed picked up an advisor from rival Edward Jones. more »
Female advisors from Raymond James' Private Client Group got a mix of planning tips, technology tricks, strategic advice and female empowerment. more »
A Morgan Stanley advisor duo with $213 million in AUM has left the wirehouse to join RBC Wealth Management. more »
Two wirehouse advisor teams, each managing $400 million in AUM, went independent. But wirehouse and regional broker-dealers did not remain idle: Morgan Stanley recruited advisors managing over $600 million in assets, while Raymond James grabbed a million-dollar producer from Merrill Lynch. more »
Raymond James reshuffles its divisions, leading to several management appointments. more »
A UBS advisor managing $108 million in assets has left the wirehouse to join rival firm Merrill Lynch. more »
On Wall Street has dropped its minimum AUM for its annual ranking of the top 40 advisors under age 40. Who will it be this year? more »
Advisor Jo Ellen Fisher, who allegedly stole nearly $1 million from a 95-year-old client, is barred from the industry and has been sued by her former employer. more »
Raymond James & Associates recruited a wirehouse advisor who generated over $1 million in revenue, managing more than $120 million in assets. more »
The October Issue is now online!


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