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Registered Rep.
April 2, 2012
Diana Britton |
It's Official: Morgan Keegan Advisors Now Work for Raymond James The next step in the integration process will be to roll out Raymond James' products and services to Morgan Keegan advisors.   |
On Wall Street
April 1, 2013
Mason Braswell |
Raymond James' New Breed Pushes Ahead After Morgan Keegan Acquisition The acquisition of Morgan Keegan added hundreds to Raymond James wealth management ranks one year ago. Branch Manager Robert Brewer reveals how he made the transition. |
On Wall Street
March 1, 2010
Helen Kearney |
Compensation 2010 Your definitive guide to the changes in advisor compensation across the industry. |
On Wall Street
February 1, 2012
Konish & McMorris |
Raymond James Rising Raymond James & Associates struck a deal with Regions Financial to buy its Memphis-based Morgan Keegan unit for $930 million. |
Registered Rep.
February 13, 2012
Jerry Gleeson |
Raymond James Ramping Up Its RIA with New Leadership, Investment The new president, Bill Van Law, said the company plans to make a significant investment in the business in the months ahead. |
Registered Rep.
February 24, 2012
Diana Britton |
Some Morgan Keegan FAs Eager for Raymond James' Social Media Tools For some Morgan Keegan advisors, Raymond James is dangling a fairly tasty technological carrot: Immediate access to an advanced social media content, archiving and distribution platform. |
Registered Rep.
July 22, 2010
Christina Mucciolo |
Raymond James Financial and Wells Fargo Retail Brokerage Units Hang In There A report on earnings from two major financial firms. |
Registered Rep.
October 20, 2010
Jerry Gleeson |
Profits Soar at Wells Fargo, Raymond James The brokerage business of Wells Fargo of San Francisco, and independent b/d Raymond James Financial Inc. of St. Petersburg, Fla., both reported mixed performances today, with sharply higher year-over-year profits contrasting with more subdued sequential results. |
On Wall Street
March 1, 2012
Lorie Konish |
Go,Teams! When Hilliard Lyons introduced its current team-based award program in its compensation program five years ago, it led to what Executive Vice President Darryl Metzger now calls an "A-HA" moment for the firm. |
On Wall Street
March 19, 2013
Bill Willis |
Recruiter's Tour of Raymond James Morgan Keegan employees were required to make a home office visit after their firm was acquired by Raymond James. |
On Wall Street
February 1, 2010
Frances A. McMorris |
When Firms Collide: Is Culture Clash Inevitable? Merged companies have been integrated and new executives have taken up their posts, but everyone is still trying to adjust. |
Registered Rep.
January 14, 2010
Kristen French |
Wells Fargo FAs Grumble About New Tax Withholding Rate Wells Fargo's new tax withholding system applies a flat rate of 25 percent to all financial advisors, causing under/over withholding problems for many employees. |
Registered Rep.
December 3, 2013
Megan Leonhardt |
Out From Under A rising market lifts many spirits, including advisor satisfaction with the firm that employs them. |
The Motley Fool
January 11, 2012
Shubh Datta |
Region Financial's Morgan Keegan May Finally Be Sold Regions hopes to sell Morgan Keegan by next week. |
Registered Rep.
November 30, 2012
Diana Britton |
Withering Wirehouses? Not Quite. Many industry propellerheads have forecasted an exodus of wirehouse advisors to the independent channel as retention bonuses unwind this year. |
Registered Rep.
May 1, 2012
Diana Britton |
Comings & Goings: May 2012 Raymond James named Erik Fruland as chief operating officer... M. Kitces has been named a partner at Pinnacle Advisory Group... Matt Lynch has landed at Tiburon Strategic Advisors... |
Registered Rep.
December 21, 2012
Megan Leonhardt |
Looking Back, 2012 A Mixed Bag For Wirehouses Assets mostly were up, but advisors are on the move. |
Financial Advisor
May 2012 |
Satisfaction A job satisfaction study by J.D. Power found that financial advisors' happiness with their work is most dependent on their firm's performance. |
Registered Rep.
April 24, 2009
Halah Touryalai |
Raymond James Takes a 2Q Hit -- But Gains Retail Advisors Raymond James Financial posted dismal overall earnings for the second quarter, but its private client group appears to be a bright spot. |
Registered Rep.
December 1, 2006
Kristen French |
Morgan's New Comp Plan Morgan Stanley retail head James Gorman announced the rollout of a new compensation program for 2007 -- one that will increase the firm's spending on compensation by millions of dollars. But the plan will also eliminate any compensation to reps on accounts below $50,000. |
On Wall Street
August 1, 2011
Lorie Konish |
Morgan Keegan's Woes May Not Be Over Morgan Keegan has aggressively fought funds-related arbitration cases and will continue to do so. |
On Wall Street
April 1, 2013
Lorie Konish |
Editor's Letter: Transition at Raymond James A run-down of the stories in this issue, including a discussion of the year following the Raymond James merger with Morgan Keegan. |
Registered Rep.
December 8, 2015 |
2015 Broker Report Card: Paying Premium? The percentage of advisors' revenues derived from fee-based business ticked up again this year, for the sixth year running. |
Registered Rep.
October 20, 2011
Diana Britton |
Raymond James Posts Flat Earnings, Record Advisor Productivity in Fiscal Q4 CEO Paul Reilly said the private client group had strong performance driven by record advisor productivity. |
On Wall Street
February 1, 2011
Lorie Konish |
Will Advisors' Game Of Musical Chairs End Soon? The market crisis that began several years prompted a frantic game of musical chairs as firms and advisors sought their most competitive matches. |
Financial Advisor
June 2008
Tracey Longo |
Swimming Upstream California investment advisor John Threlkeld has been working diligently to serve wealthier and wealthier investors, even purchasing two other advisors' practices and turning all but his top clients over to a junior planner. |
Financial Advisor
January 2006
Tracey Longo |
Working Smarter, Not Harder As more independent broker-dealers set themselves up as strategic outsourcing partners, they are finding bigger and better firms driven to their door by stagnant or shrinking profit margins and the accelerating compliance melee. |
Registered Rep.
December 1, 2011
Kristen French |
Broker Report Card 2011: It's Getting Better All the Time Registered Rep.'s 21st annual Broker Report Cards showed advisor satisfaction ratings creeping higher this year across the board -- on everything from compensation and benefits, compliance support and sales support to products. |
| Registered Rep. |
The Top 30 Independent Broker/Dealers in 2015 The list below is comprised of the 30 largest IBDs ranked by average assets under management per advisor, as of 2014. |
Registered Rep.
December 14, 2012
Megan Leonhardt |
Wirehouses Dangle New Carrots, Small Sticks In 2013 Across the board, all four major wirehouses tweaked their compensation plans for the upcoming year; In some cases, they are upping the bar to earn payouts and putting greater emphasis on incentives to gain new, richer clients. |
On Wall Street
October 1, 2011 |
Who's News Bank of America Merrill Lynch hired Wells Fargo advisor Adam Gurien... Morgan Stanley Smith Barney has hired a team of Wells Fargo Advisors...Raymond James & Associates hires three advisors in Hingham, Mass... more... |
Registered Rep.
July 24, 2009
Christina Mucciolo |
Raymond James Q3 Earnings Down But Retail FA Recruiting A Bright Spot Raymond James is experiencing a rush of interest from apparently disgruntled wirehouse advisors. |
Financial Advisor
August 2012
Karen DeMasters |
The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers. |
Registered Rep.
July 21, 2011
Diana Britton |
Raymond James Rep Count, Assets Up Amid Tough Recruiting Environment Raymond James Financial's private client group added 20 advisors and reported a $3 billion boost in client assets. |
Registered Rep.
February 29, 2012
Jerry Gleeson |
It's a Tough Route for Younger Advisors Anew report by Charles Schwab, which shows that advisors under the age of 40 are more likely than their older peers to feel pressure to grow their book of business, or to focus on selling proprietary products. |
Registered Rep.
May 17, 2011
Diana Britton |
Advisors Promised the Moon, But Get Hard Cheese Most advisors said they had been recruited to a broker/dealer at one time or another based on promises that the firm later could not deliver on. |
Registered Rep.
November 3, 2006
Kristen French |
Morgan Tinkers with Grid; Wants FAs to Aim High James Gorman announced the rollout of a new compensation program that will greatly increase the firm's spending. But, in an effort to get reps to think big, accounts below $50,000 will no longer generate any compensation for the rep. |
Registered Rep.
December 8, 2015 |
2015 Broker Report Card: Show Me The Money Advisors' gross production varied widely by firm in this year's survey results. |
Financial Advisor
March 2012
Eric Rasmussen |
Swimming In Shallow Water Broker-dealers face a stagnant rep pool, shrinking margins and the choke hold of regulators. But it's been a boon to the biggest consolidators. |
On Wall Street
March 1, 2013
Braswell & Konish |
Compensation Plans Step Up to Next Level Compensation plans for 2013 come with new incentives for advisors to strive for growth. |
Registered Rep.
May 1, 2008
Halah Touryalai |
Anywhere But Here No, you didn't want to be a financial advisor at Bear Stearns during the week of March 10. That was the week that news broke about Bear's serious liquidity problems, and the week it had to be bailed out. |
Registered Rep.
March 24, 2008
Halah Touryalai |
Will Dimon Offer Retention Package To Coveted Bear Advisors? JP Morgan's chief may have asked rival firms to back off from hiring Bear Stearns advisors, but that doesn't mean competitors have stopped offering recruiting deals to anxious Bear reps. |
On Wall Street
December 1, 2011 |
Who's News Morgan Stanley Smith Barney hired three advisors from UBS Financial Services... Bank of America Merrill Lynch hired Morgan Stanley Smith Barney advisors Raymond Stacy and Christopher Pieper... Wells Fargo Advisors hired advisor Zoran Vaz... |
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. |
Registered Rep.
June 22, 2011
Charlie Paikert |
Morgan Keegan On The Block After Regions Settles Fraud Charges Morgan Keegan may soon be for sale after agreeing to a $210 million settlement with federal, state and industry regulators over issues related to subprime mortgage-backed securities. |
Registered Rep.
April 1, 2014
Mindy Diamond |
Culture: Hard to Define, Impossible to Ignore Advisors looking to compare and contrast their own firm to others, often see all similarly situated firms as one and the same. A firm's culture is the one thing that is not a commodity. |
Financial Advisor
June 2009
Jeff Schlegel |
Money In Motion The economic crisis has wreaked havoc on wirehouses, and more advisors are looking for new opportunities. |
Registered Rep.
September 30, 2009
David A. Geracioti |
Do Retail Financial Advisors Have an "Unhealthy Focus?" The Financial Times suggests the way financial products and services are sold need to be completely overhauled. |
Registered Rep.
March 15, 2012
Diana Britton |
Ladenburg Thalmann Revenue Doubles Thanks to SAI acquisition, But Profits Are Slim The spike was primarily due to the company's acquisition of Securities America, adding $57.1 million to Ladenburg's 2011 revenue. Net income for the quarter was $6.4 million, compared to a net loss of $1.1 million for the fourth quarter 2010. |
Registered Rep.
April 21, 2011
Diana Britton |
Raymond James Adds Assets, Loses Advisors Raymond James Financial's Private Client Group led the firm's growth in the second quarter. |
