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Financial Planning
May 1, 2007
Marshall Eckblad |
On The Job The ING Advisors Network in El Segundo, Calif., has named Randall Ciccati president... Linsco/Private Ledger Corp. in San Diego has hired Jeffrey Kleintop... etc.   |
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. |
Investment Advisor
April 2010
James J. Green |
Broker/Dealer Briefing: Cetera Ready to Grow Former Ing Broker/Dealers Are Committed to the new Cetera Financial Hybrid Model. |
Investment Advisor
May 2009 |
Changes People: Derek Bruton named national sales manager for LPL Financial Independent Advisor Services while still retaining his position as CEO for the LPL Financial affiliated broker/dealers... Walter Donovan as CIO and head of Putnam's equity, fixed-income, and global allocation operations... more... |
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
December 2007 |
Changes The Financial Planning Association announced that Richard Salmen of GTrust Financial Partners... New York Life Investment Management appointed David Bedard as senior managing director... etc. |
Investment Advisor
June 2007
Lauren Barack |
Streamlining Broker/dealers are aiming for a one-click model for their technology platforms. |
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. |
Investment Advisor
October 2008 |
Changes PIMCO new CEO Mohamed El-Erian... Tim Murphy president and CEO Investment Capital Holdings... CFP Board hires Steven Barkley and Patrick Cuddy... LPL Financial appoints Robert Moore as CFO... Greg McGreevey... Craig Stearns... Jeffrey Carleton... |
Registered Rep.
April 1, 2006 |
Comings & Goings ING has named Catherine Bonneau chief operating officer of its independent broker/dealer... Robert Finn has joined Piper Jaffray as an advisor... Philip Horn and Mark Lindee, each with $125 million in client assets, have recently joined Wachovia... etc. |
Investment Advisor
March 2010
James J. Green |
RIA Growth at LPL The biggest independent broker/dealer is growing rapidly in another way: as a custodian for advisors that use LPL Financial as the custodian for their RIA activities. |
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. |
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.
January 1, 2005
Namita Devidayal |
The Not-So-Quiet Company In grammatical terms, a word with the letters ING at the end is a gerund, a verb masquerading as a noun. Fitting, then, that the Dutch financial services firm that goes by those letters would have a mysterious side. |
Investment Advisor
March 2008
James J. Green |
Coming Out Party Only fours years after its inception, the Financial Services Institute has achieved a high level of success as the primary advocacy group for independent broker/dealers. The recent FSI gathering was the broker/dealer group's biggest ever. |
Financial Advisor
June 2007
Sherri Scordo |
Financial Advisor's 2007 Broker-Dealer Guide Top independent broker-dealers ranked by gross revenue: LPL... AIG Advisors Group... ING Advisors Network... etc. |
Investment Advisor
August 2008
James J. Green |
Not Slowing Down LPL Financial is pushing its already big envelope under the leadership of Mark Casady |
Registered Rep.
March 30, 2012
Diana Britton |
Comings & Goings: April 2012 Richard Aneser has been hired by Lincoln Financial Distributors to serve as chief marketing officer... LPL Financial named Mimi Bock as its new executive vice president of independent advisor services... Advisor ratings service BrightScope added Josh Brown... |
Wall Street & Technology
November 29, 2004
Maria Santos |
People & Careers Witney to Head IT at Barclays Capital... SunGard Names Cinquina SVP... Morris Joins Penson From Pershing... etc. |
Investment Advisor
February 2010 |
Asset Allocation This month's allocation numbers, from LPL's chief market strategist, Jeffrey Kleintop. |
Registered Rep.
May 2, 2011
Diana Britton |
Top LPL Advisor Leaves to Start His Own B/D, Eyes Acquisitions Registered Rep.'s top-rated 2010 independent broker/dealer advisor Ron Carson has announced plans to leave LPL Financial |
Registered Rep.
May 21, 2008 |
Indie B/Ds Inching Forward With Regulators The independent broker/dealer channel is still fighting a decades-old battle: the challenges of compliance for independent firms. |
Investment Advisor
December 2009
James J. Green |
Catching Up With...Gary Gallagher A chat with LPL's executive VP strategic programs and support services. |
Registered Rep.
January 29, 2010
Kristen French |
UBS Morale Lifts A number of top financial advisors at the firm say that they are so far very pleased with the leadership of UBS Wealth Management CEO Bob McCann and his team. |
Investment Advisor
June 2006
Kathleen M. McBride |
Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways. |
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... |
Financial Advisor
May 2006
Tracey Longo |
What Have You Done For Me Lately? The race is on among independent broker-dealers to recruit more top fee-based advisors. |
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.
January 25, 2010
Halah Touryalai |
LPL's New RIA Platform Rakes in Assets Since launching the platform in October 2008 through the end of 2009, the firm gathered $7.3 billion in assets. |
Registered Rep.
February 7, 2011
Jerry Gleeson |
LPL Financial Posts Growth in Assets, Advisors LPL Investment Holdings reported higher revenue and adjusted profit numbers for the fourth quarter, as the acquisition of an advisor network in 2010 boosted assets and advisors at the firm. |
Registered Rep.
February 1, 2005 |
By the Numbers Top 10 Broker/Dealers, by Advisor Headcount: Merrill Lynch... Wachovia... Smith Barney... Morgan Stanley... etc. |
Investment Advisor
May 2006
Kathleen M. McBride |
B/D Briefing: Pick Three In a recent reader survey, when asked where reps would go if they were to consider moving to another B/D, three firms were consistently mentioned: Commonwealth Financial Network, LPL Financial Services and Raymond James Financial Services. Here's why. |
Financial Planning
March 1, 2006
Marshall Eckblad |
On the Job Three senior executives move into new roles at Todd Investment Advisors... The Foundation for Financial Planning has named three new members of its board of trustees... etc. |
Investment Advisor
April 2007 |
Changes-April 2007 New York Life Insurance Company announced that Christopher Blunt was appointed senior VP and COO... Jonathan Spector, vice dean of The Wharton School at the University of Pennsylvania, was named president and CEO of The Conference Board... etc. |
Registered Rep.
February 8, 2011
John Aidan Byrne |
Some Bright Spots Among the Red Ink for UBS UBS Wealth Management Americas added client assets and a handful of advisors in the fourth quarter, cushioning the blow from steep legal costs that resulted in a pre-tax loss of $34.6 million. |
Registered Rep.
May 5, 2008 |
LPL Financial Heats Up The RIA World The largest independent broker/dealer in the U.S. announced today it's going to launch an RIA custodian later this year, which will serve both hybrid and fee-only investment advisors who operate independent RIAs. |
Investment Advisor
December 2009 |
Broker/Dealer News New developments at Raymond James, LPL Financial, and Broadridge Financial Solutions. |
Registered Rep.
July 23, 2012
Diana Britton |
Virgin Banks Few community banks and credit unions offer wealth management services to their customers. But many of these firms are struggling and looking for new sources of income. Broker/dealers are finally tapping these untouched firms with revenue-sharing partnerships. |
Registered Rep.
October 26, 2011
Diana Britton |
LPL Posts Strong 3Q Earnings; Adjacent Acquisition Could Be in Pipeline The real buzz during LPL Financial's earnings conference call was around the firm's acquisition pipeline, which chairman and CEO Mark Casady said was strong. |
Investment Advisor
April 2007
James J. Green |
Watch LPL Grow The largest independent broker/dealer acquires three Pacific Life Insurance Co. broker/dealers. |
Registered Rep.
June 1, 2012
Diana Britton |
Breaking Out: A New Era in Insurance Insurance firms constantly go through cycles of acquisition and sale when it comes to their broker/dealer subsidiaries. But the current sell cycle is different, and it may shake up how the business works. |
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.
March 1, 2007 |
Comings & Goings President and CEO of Janney Montgomery Scott, James Wolitarsky, will retire... UBS appointed Michael Roberts managing director and head of UBS Trust Services... Morgan Stanley hired 10 investment professionals... etc. |
Investment Advisor
March 2007 |
March 2007 UBS announced the appointment of Michael Roberts as managing director... T. Rowe Price named Steven Huber as a senior portfolio specialist... etc. |
Investment Advisor
May 2009
James J. Green |
Catching Up With: Jeff Montgomery A conversation with the CEO of Al Frank Asset Management. |
Registered Rep.
February 9, 2010
Kristen French |
UBS Americas Bleeds More Client Assets in Q4, Advisor Attrition Way Down Clients continued to withdraw significant assets from the firm both in the U.S. and around the world. |
Registered Rep.
November 29, 2011
John Aidan Byrne |
UBS: Going Mobile with an FA App Financial advisors at UBS Wealth Management Americas are about to go more mobile - in a far-reaching pilot program that enables them to use an extensive array of UBS tools and other applications. |
BusinessWeek
July 25, 2005
Gene G. Marcial |
Looking A-O.K. At ING ING's global reach and recent success in America make it an attractive option for shareholders. |
Investment Advisor
June 2008
Kara P. Stapleton |
Power of the Platform LPL will build a custodial offering for its own -- and outside -- RIAs. |
Investment Advisor
May 2009 |
Upgrades New financial offerings: Payden & Rygel introduces Payden Corporate Bond Fund... ING launches INGCompareMe.com... SPDR Barclays Capital Convertible Bond ETF begins trading on the NYSE... and more... |
