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On Wall Street
May 1, 2012 |
Who's News UBS Wealth Management Americas has hired four financial advisor teams... Ameriprise Financial has hired Charles Hart... Barclays has hired John Houlihan as a director and regional manager...   |
On Wall Street
August 1, 2011 |
Who's News Bank of America Merrill Lynch hired Morgan Stanley Smith Barney advisor David Massey... HighTower Advisors has hired a three-member MSSB team... UBS Wealth Management Americas has hired MSSB executive Jon Mallon... etc. |
Registered Rep.
August 5, 2009
French & Churchill |
UBS Close to Deal With Bob McCann, Reorg Under Way The move comes as the bank works to contain damage to its reputation done by the tax evasion dispute with the U.S. government. |
On Wall Street
April 1, 2012 |
Who's News Wells Fargo promoted Dean Junkans to the new role of chief investment officer... Raymond James hired two advisor teams from Merrill Lynch... Janney Montgomery Scott promoted Steven Rivera to satellite branch manager... more... |
On Wall Street
June 1, 2012 |
Who's News Morgan Stanley hired three new advisor teams... RBC Wealth Management has hired three wirehouse advisors in Illinois... Edward Jones has hired Emmy-award winning reporter/anchor Marc Cox... |
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... |
On Wall Street
February 1, 2012 |
Who's News New hires for Merrill Lynch Wealth Management, Morgan Stanley Smith Barney, UBS Wealth Management, and Raymond James. |
Registered Rep.
May 31, 2013
Megan Leonhardt |
Sizing Up the Street In the latest earnings cycle, here's how the wirehouses stacked up. |
Registered Rep.
March 1, 2008 |
Comings & Goings LPL Financial hired Christopher Poch... Jackson National Life Insurance Company promoted John Koehler... Merrill Lynch Co-President and Chief Operating Officer, Ahmass L. Fakahany, retired... etc. |
Financial Advisor
March 2012 |
UBS Reeling In Merrill Advisors The big four wirehouse firms are always trying to poach top talent from their rivals, but UBS Wealth Management seems to be doing a particularly job good job of late when it comes to snagging advisor teams from Bank of America/Merrill Lynch. |
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. |
Registered Rep.
June 7, 2010
Halah Touryalai |
LPL To Go Public. At What Valuation? It's the moment LPL Financial (and much of the broker/dealer world) has been anticipating for at least the last five years. The independent channel's largest b/d filed forms S-1 with the SEC on Friday, signifying its intent to float shares to the public. |
Registered Rep.
February 9, 2011
Diana Britton |
IMCA Helps Financial Advisors Pick Up Women Three out of four wealthy women are looking or thinking of looking for a better financial advisor. |
On Wall Street
March 1, 2012 |
Who's News UBS Wealth Management Americas has hired six financial advisors... Morgan Stanley Smith Barney hired Merrill Lynch advisors Philip Ressa and Justin Cho... Barclays Wealth has hired eight financial advisors... |
Registered Rep.
August 29, 2010
Jerry Gleeson |
Merrill, MSSB Invest in New Technology Wirehouse firms continue to upgrade their advisor workstation technology following the recent consolidation among firms. |
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.
December 1, 2002
Walter H. Zultowski |
Who Wants a Wealth Manager? Are potential clients excited about the prospect of receiving wealth management services? And of those who are, what characteristics do they share? Phoenix, which specializes in this market, set out to answer these questions in a survey of the high-net-worth population. |
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. |
Registered Rep.
April 15, 2011
Kristen French |
Merrill Earnings Strongest Since Bank of America Takeover Bank of America's Global Wealth and Investment Management division, which includes Merrill Lynch, reported its highest earnings since Bank of America's takeover of Merrill in late 2008, as asset management and brokerage fees rose. |
Registered Rep.
April 21, 2010
Jerry Gleeson |
Morgan Stanley Profits Rise, Advisor Count Flat Morgan Stanley on Wednesday reported higher-than-expected revenues and profits in the first quarter, lifted by its acquisition last spring of Smith Barney and by higher fixed income. |
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... |
On Wall Street
November 1, 2011 |
Who's News Wells Fargo Advisors hired a father-son advisor team in Oak Brook, Ill., Wells Fargo has also hired Morgan Stanley Smith Barney advisor Joseph Jaworski in Melville, N.Y., and Morgan Stanley Smith Barney hired Frank Roccisano from UBS. |
Registered Rep.
February 1, 2005 |
By the Numbers Top 10 Broker/Dealers, by Advisor Headcount: Merrill Lynch... Wachovia... Smith Barney... Morgan Stanley... etc. |
The Motley Fool
November 7, 2006
Dan Caplinger |
When Your Advisor Quits Facing the retirement of a trusted financial advisor can be traumatic. By remaining objective and cautious during your transition to a new advisor, you can take steps to ensure that you will continue to receive the good advice you've come to expect. |
Registered Rep.
April 15, 2009
Kristen French |
Bank of America Launches Client Referral Program It's one of several referral programs the bank is putting together as part of its integration with Merrill Lynch, including one that would offer leads from the commercial banking division to certain Merrill Lynch advisors. |
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. |
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. |
Registered Rep.
July 22, 2009 |
Edward Jones, LPL, Schwab: Keeping Clients Happy FAs, you better be at the top of your game. |
Registered Rep.
October 1, 2005
John Churchill |
Fighting for Dollars The retail brokerage model in the U.S. is flawed. Why? Because advisors get too much of the revenue pie. |
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.
December 7, 2015
Gregory J. Fleming |
View From the Top: The Durability of Wealth Management The two powerful forces that are changing every aspect of our lives, technology and demographics, will also change the wealth management business profoundly over the next quarter century. |
Registered Rep.
July 28, 2010
John Aidan Byrne |
UBS Brokerage Unit Turning the Corner? The "turning point" in client fund outflows is about to appear for UBS Wealth Management Americas. |
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. |
On Wall Street
January 1, 2011
Mike Byrnes |
Pulling Out All Stops Since 2008, the financial services industry has taken a beating-not just in assets under management and performance, but in reputation, as well. |
Registered Rep.
July 14, 2010
Halah Touryalai |
LPL Acquires Retirement Broker/Dealer LPL continues its growth streak with the acquisition of assets from National Retirement Partners, a California based broker/dealer. |
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. |
Financial Planning
March 1, 2012
Donna Mitchell |
LPL Aims High In its earning call last month, LPL Investment Holdings shared strong performance numbers for fourth-quarter and full-year 2011. |
Registered Rep.
April 16, 2010
Jerry Gleeson |
Merrill Advisor Defections Flat In Q1, Profit Falls Profits were down last quarter at Merrill Lynch but the brokerage's performance still helped to lift the fortunes of its new parent, Bank of America Corp. |
Registered Rep.
October 1, 2010
John Aidan Byrne |
Who Will be Number One Among the Wirehouses? A good old-fashioned Wall Street fight for retail assets -- and a fierce tussle over which firm can call itself the Number One retail wealth management firm on Wall Street -- is brewing. |
Registered Rep.
October 21, 2009
Kristen French |
Morgan Posts First Profit In Year The company' results were boosted by higher underwriting fees and trading revenue, as well as the firm's acquisition of Smith Barney. |
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.
October 10, 2014
Megan Leonhardt |
Half of HNW NextGen Investors Keep Parents' Advisors About half of high-net-worth millennials are likely to keep their family's financial advisor when they inherit. |
Registered Rep.
January 28, 2013
Anne Field |
Grooming the Reluctant Apprentice A New Jersey advisor thought he had the perfect match for a junior partner, until she got cold feet about moving into the client spotlight. Our panel of experts helps them reconcile opposing goals. |
Registered Rep.
June 5, 2012
Mindy Diamond |
The Road Less Traveled An unusual story about a financial advisor who left an independent b/d to join a Wall Street firm. |
On Wall Street
April 1, 2011
Lorie Konish |
U.S. Trust Defends Garden Policy, Codifies Processes Bank of America Corp. gave its U.S. Trust advisors notice in February that they were subject to "garden leave restrictions" if they left, sending shock waves through the industry. |
Financial Advisor
March 2004
Grove & Prince |
Thinking And Acting Like A Wealth Manager It's the difference between offering products and providing solutions. |
On Wall Street
December 1, 2009
Frances A. McMorris |
Market Turmoil Is No Match for Young Guns As 2009 makes its exit, 2010 promises to be just as tumultuous. |
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.
February 28, 2012 |
Von Aldo: Avoiding the "Next Big Thing" (er, Investment Blow up) Joshua Brown's book, Backstage Wall Street: An Insider's Guide to Knowing Who to Trust, Who to Run From, and How to Maximize Your Investments is aimed at retail investors -- but financial advisors may learn a thing or two. |
On Wall Street
March 1, 2011
Conrad & Konish |
Compensation 2011 While recruiting packages generate a lot of interest, the actual pay that advisors receive from their firms doesn't get as much attention. So once again, On Wall Street has sifted through the payout grids in our industry for a unique comparison of their pay packages. |
