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Registered Rep.
February 26, 2013
Diana Britton |
Comings and Goings: March 2013 Independent broker/dealer NFP Advisor Services Group has tapped Dan Schwamb... David Lynn has joined Cole Real Estate Investments... Financial advisor Kevin Robertson has joined Merrill Lynch...   |
Registered Rep.
March 1, 2006 |
Comings & Goings Amy Butte resigned as CFO and executive vice president of the New York Stock Exchange... Wachovia Corporation's Chief Financial Officer Bob Kelly said he is stepping down... etc. |
Registered Rep.
February 1, 2005 |
By the Numbers Top 10 Broker/Dealers, by Advisor Headcount: Merrill Lynch... Wachovia... Smith Barney... Morgan Stanley... etc. |
Registered Rep.
April 27, 2011
Diana Britton |
Poll: Do Recruiters Promise Too Much? A former Raymond James advisor recently filed suit against the broker/dealer claiming an internal recruiter misrepresented the support, technology and compensation the firm could deliver. |
Registered Rep.
February 1, 2006 |
Comings & Goings Jerry Brown, Terry Kelley and Mark Strynar have joined Morgan Stanley... Marcus Mears has been appointed senior vice president of brokerage sales at Mutual of Omaha... Jim Luallen joined Piper Jaffray as a financial advisor... etc. |
Registered Rep.
December 1, 2006 |
Comings & Goings Mark Sutton, chairman and CEO of U.S. operations for UBS, has announced his resignation... Stephen Johnson has joined Jackson National Life Insurance Company as the assistant vice president of national accounts... etc. |
Investment Advisor
May 2007 |
Changes ING announced that Randall Ciccati, president and CEO of PrimeVest Financial Services, replaced Valerie Brown... Jeffrey Kleintop has joined LPL Financial Services as senior VP... etc. |
Registered Rep.
January 9, 2008
Halah Touryalai |
Smith Barney Snags Three Advisors From Rivals Smith Barney has started off the new year right with a recruiting victory. The firm recently hired three Merrill Lynch reps and one UBS advisor. |
On Wall Street
January 1, 2009 |
Who's News Staffing announcements from wirehouses, regionals and private banks from the January 2009 issue. |
On Wall Street
July 1, 2009
Helen Kearney |
RBC Swooping in on UBS Advisors A string of veteran UBS advisors have made the jump to RBC Wealth Management over the past eight months. |
Registered Rep.
May 1, 2006
John Churchill |
Score One for Diversity UBS has hired a prominent black Smith Barney broker. |
On Wall Street
October 1, 2009
Helen Kearney |
UBS Weighs Options as the Suddenly Smallest Wirehouse No one can deny it's been a tough year for UBS's wealth management business in the U.S. |
Registered Rep.
June 1, 2004 |
Comings & Goings David Harris moved to UBS Securities from Smith Barney... UBS Securities lost a broker to upstart wealth manager Mercury Wealth Management... Carol Rogers recently moved to Linsco/Private Ledger from Wachovia Securities' FINet system... etc. |
Registered Rep.
October 9, 2008 |
Smith Barney Closing Branches, Letting Managers Go As part of a larger cost-cutting effort, Smith Barney is consolidating some of its branch offices and laying off a number of its branch managers. |
Registered Rep.
October 1, 2006 |
Comings & Goings Howard Schnoll and Richard Schilffarth joined RBC Dain Rauscher's Milwaukee office... Ryan Beck has snagged three Smith Barney advisors for its recently opened York, Pa., office... etc. |
Registered Rep.
September 3, 2010
John Aidan Byrne |
UBS Hires Four HNW Advisors The latest hires by UBS Wealth Management Americas reflect its goal of attracting business from the ultra rich in mostly major metropolitan markets in the United States. |
Investment Advisor
December 2009
James J. Green |
ING Sells Three B/Ds ING agreed to sell three of its U.S. broker/dealers that comprise the ING Advisors Network to Lightyear Capital LLC. |
Investment Advisor
July 2006 |
B/d Briefing: News & Products The Securities and Exchange Commission announced on May 31 the institution of proceedings against 15 broker/dealer firms... In the past year nearly 200 advisors have been added to the H&R Block Financial Advisors team... etc. |
On Wall Street
November 1, 2008 |
Who's News Staffing announcements from wirehouses and regionals from the November 2008 issue. |
Registered Rep.
July 14, 2008
Halah Touryalai |
Morgan Stanley Offers $50 million In Overtime Settlement The settlement covers all financial advisors, trainees, producing branch managers, assistant branch managers and sales managers who live outside of California and were employed with the New York-based firm between Sept. 1, 2002, and April 21, 2008. |
Registered Rep.
March 1, 2003
David A. Gaffen |
Wach-Pru: Rock Steady, or Not Ready? Wachovia's courtship of Prudential Securities, for months one of the worst kept secrets on the Street, has come to fruition. Is the new organization capable of competing in the elite league it has entered? |
On Wall Street
October 1, 2008 |
Who's News Staffing announcements from wirehouses, regionals and private banks. |
Registered Rep.
February 6, 2003
Ross Tucker |
UBS Continues to Attract Talent UBS PaineWebber recently lured six more high-producing reps into its fold, offering further evidence that the firm is engaged in one of the Street's most vigorous recruiting campaigns. |
Investment Advisor
May 2009
James J. Green |
Broker/Dealer Briefing: John Simmers of ING The CEO of ING Advisors Network, John Simmers, is retiring, but will retain his seat on FINRA's Board. |
Registered Rep.
September 29, 2008 |
Wachovia, The Bank, Saved by Citi; What Will Happen To Wachovia Securities? Firm Says The AGE Integration To Continue Unaffected Citigroup apparently thinks its got enough financial advisors: Citi declined to buy the retail brokerage business -- Wachovia Securities (and A.G. Edwards) -- and the asset management unit (Evergreen). |
Investment Advisor
March 2010
James J. Green |
Lightyear Buys ING B/Ds Private equity firm Lightyear Capital LLC has completed its acquisition of the three independent broker/dealers that formerly constituted the ING Advisors Network. |
Registered Rep.
September 8, 2006
Halah Touryalai |
An Offer They Can't Refuse UBS is doing all it can to hold onto as many of the advisors at newly acquired Cleveland-based McDonald Investments as possible -- beginning with a retention package that will be hard to refuse. |
Registered Rep.
August 1, 2006
Halah Touryalai |
(I Can't Get No) Satisfaction A recent survey suggests investors have higher rates of satisfaction with regional and independent broker/dealers than with wirehouse firms. |
Financial Planning
February 1, 2005
Jennifer A. Liptow |
On the Job Who's going where, when: Stuart Rogers has been named senior vice president of corporate... John Kennedy has joined New York-based AXA Distributors as senior vice president... etc. |
Registered Rep.
May 1, 2006
John Churchill |
UBS Bellies Up to the Acquisition Table With the cost of recruiting and training soaring, firms continue to turn to acquisitions. The recent purchase by UBS of Piper Jaffray's brokerage unit won't be the last as competition for clients and their assets continues to intensify. |
On Wall Street
June 1, 2010 |
Who's News Wells Fargo Advisors recruits a number of new financial advisors... UBS Wealth Management Americas recruits several new teams... Barclays Wealth hires Gary Krieger... |
Registered Rep.
March 1, 2007
Mindy Diamond |
Of Myths and Moving: Revisited The thought of changing firms is a big step for any financial advisor. But don't let cloudy thinking get in your way. Make sure you stop paying heed to old Wall Street myths. Don't fear change. Embrace it. |
Investment Advisor
October 2008 |
News & Products, October 2008 The SEC announces an enforcement action against LPL Financial Corp... ING Advisors Network announced a reorganization... Ameriprise Financial has signed an agreement to acquire H&R Block Financial Advisors... etc. |
On Wall Street
December 1, 2008 |
Who's News Staffing announcements from wirehouses and regionals from the December 2008 issue. |
On Wall Street
September 1, 2008 |
Who's News Staffing announcements from wirehouses, regionals and private banks. |
Registered Rep.
July 1, 2006
Mindy Diamond |
Culture Shock Two questions that should be on the mind of regional brokers are: "Would I want to work in a wirehouse, and will it serve my clients' needs?" |
Registered Rep.
February 3, 2009
John Churchill |
Wachovia-UBS Hookup Rumored but Unlikely Here's a possible new twist in the changing financial services landscape: A report in the New York Post raises the possibility of a "joint venture" between the wealth management divisions of Wachovia Securities and UBS. |
Registered Rep.
January 1, 2003
David A. Gaffen |
Wachovia Software Emphasizes Goals Wachovia Securities wants advisors to know where their clients want to be, not just where they are now. The firm plans early this year to unveil a new software package for its advisors to help clients figure out their retirement goals and the appropriate investments to get them there. |
Registered Rep.
March 1, 2008 |
RBC's Buying Spree RBC Dain Rauscher continued its recent streak of acquisitions in February, announcing plans to acquire Ferris, Baker, Watts, a full-service broker/dealer in Washington D.C. |
Registered Rep.
November 3, 2009
Halah Touryalai |
ING Broker-Dealers Sold to Private Equity Firm The anticipated sale of the ING broker/dealer network is official -- the struggling Dutch parent company shed the three independent firms to a private equity firm for an undisclosed amount. |
Registered Rep.
September 6, 2006
John Churchill |
UBS Buys Another Brokerage With the ink still drying on its deal to purchase Piper Jaffray's brokerage arm, Swiss firm UBS announced today it will now buy Cleveland-based McDonald Investments, KeyCorp's brokerage unit. |
Registered Rep.
March 1, 2007 |
Correction In "The Glitch" (January 2007), it was reported that NASD had not corrected the CRD record of former Piper Jaffray broker trainee Mark Schley... etc. |
Registered Rep.
May 12, 2006
Halah Touryalai |
Is Dain Rauscher the Next Brokerage Buyer? John Taft, chief executive of RBC Dain Rauscher, is aiming to have to 2,500 brokers within five years, and sees acquiring another brokerage unit as one way to reach his goal. |
Registered Rep.
December 1, 2005
Kristen French |
Wachovia: Back on Track Wachovia is back in good graces with its brokers. The many integration headaches of the firm's merger with Prudential Securities have finally subsided. Reps polled say management has tackled a number of improvements. |
Investment Advisor
June 2008
Philip Palaveev |
The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive. |
Registered Rep.
November 9, 2010
Kristen French |
UBS Hires Three From Morgan Stanley As Recruiting Wars Intensify The war for talent is as fierce as ever, with some firms like UBS issuing a press release every time they make a big new hire. |
Registered Rep.
April 11, 2006
John Churchill |
UBS Snaps Up Piper Jaffray's Brokerage Unit The Swiss banking giant UBS added the retail unit of Midwestern gem Piper Jaffray today to its wirehouse brokerage division for $500 million in cash and other considerations. |
Registered Rep.
May 31, 2007
Kevin Burke |
Wachovia Buys A.G. Edwards for $6.8 Billion, Creating New Rival to Merrill, Smith Barney The deal puts Wachovia among the top three competitors in retail brokerage -- in terms of both assets and advisors -- and retail banking. |
The Motley Fool
October 20, 2006
Billy Fisher |
Time to Pay the Piper Middle-market investment banking firm Piper Jaffray saw its shares open up 4.1% recently, as the company reported third-quarter net income of $9.79 per share, versus $0.79 per share for the year-ago quarter. |
Financial Planning
May 1, 2006
Marshall Eckblad |
On the Job Fiduciary Trust in New York has named Luke Fowler to replace... The Financial Planning Association's Executive Director and CEO Marv Tuttle has been appointed... etc. |
