| Similar Articles |
|---|
 |
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.
September 1, 2004 |
Comings & Goings Smith Barney has promoted Bob Matthews to director of wealth management ... Independent Dallas-based True North Advisors has added Brett Anderson to its team... etc. |
On Wall Street
August 1, 2009
Mark Astarita |
Changes at the SEC: Schapiro Should Be Benefit to Advisors One can expect that as head of the SEC Mary Schapiro will understand the impact of new rule proposals and enforcement initiatives and will temper the calls for more extreme changes that would ultimately harm the markets and the financial industry. |
| 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.
March 31, 2015
Diana Britton |
Do You Consider Yourself a Fiduciary? A survey of broker dealers on this question. |
Investment Advisor
February 2009
Melanie Waddell |
Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization. |
Registered Rep.
January 26, 2009
John Aidan Byrne |
New Head, But Same Old Mission For Merrill's Retail Bank of America has named general counsel Brian Moynihan, an executive well versed in legal and business principles, to replace John Thain. |
Registered Rep.
November 4, 2008 |
Top Merrill FAs Playing Hardball With Retention Package They have taken the first step towards getting changes made by collectively hiring a lawyer, who "ripped the retention contract to shreds." |
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
November 2009
Kathleen M. McBride |
Merrill's Big Plans The importance of culture at the organization is what Sallie Krawcheck spoke of at her first press conference as president of Global Wealth Management & Investment Management at Bank of America Merrill Lynch. |
Registered Rep.
January 22, 2009 |
Thain Departs BofA--An $87,000 Rug? Say It Ain't So, John! Client AUMs Fall By 30 Percent In 2008 John Thain, former CEO of Merrill Lynch and the man who engineered the sales of the storied Wall Street firm to Bank of America in September, is leaving the combined firm immediately. |
Registered Rep.
August 26, 2014
Diana Britton |
The Evolution of RCAP Nicholas Schorsch, executive chairman of RCS Capital, made his initial foray into the independent broker/dealer space with his purchase of First Allied Securities and The Legend Group, with 1,500 advisors. Since then, Schorsch has been on an acquisition tear. |
On Wall Street
April 1, 2010
Howard J. Stock |
Back Office Move Has Advisors Up In Arms -- Some Bolt Questions surround what will happen to BAI clients when Merrill moves their accounts from National Financial to Merrill Lynch. |
Registered Rep.
September 1, 2004
David A. Gaffen |
Parting is Such Sweet Sorrow You won't have to steal client addresses and phone numbers any more when switching firms --- that is, if you work for Merrill Lynch, Smith Barney or UBS Securities. |
Registered Rep.
October 2, 2008 |
Thain Gets a Job at Bank of America Merrill Lynch CEO John Thain has accepted an offer to be president of Global Banking, Securities and Wealth Management at Bank of America. |
Registered Rep.
August 13, 2007
Halah Touryalai |
Merrill Grabs Advisors Producing $5.5 million From Rival UBS Merrill Lynch won big last week in the aggressive industry-wide recruiting war for top advisors. |
CFO
February 1, 2009
Edward Teach |
The SEC under Schapiro Can Mary Schapiro restore investors' confidence in the beleaguered regulator? |
Registered Rep.
November 9, 2009
Kristen French |
BofA Pressures Merrill FAs To Sell Bank Products Some of Merrill Lynch's 15,000 financial advisors are feeling pressure to sell parent company Bank of America's checking and savings account products -- and they're not happy about it. |
Registered Rep.
April 27, 2011
Jerry Gleeson |
Merrill Lynch Names Thiel to Run U.S. Brokerage Thiel, 50, will replace Lyle LaMothe. LaMothe, also 50, said on March 4 that he would retire as head of Merrill Lynch U.S. Wealth Management. |
Registered Rep.
October 5, 2009
Kristen French |
Merrill Launches Branding Campaign; Recruiting Net Positive The new campaign Monday will cost the firm $20 million in the fourth quarter, the most Merrill has ever spent on marketing. |
Registered Rep.
February 1, 2011 |
Poll: Are Advisors Being Pressed to Peddle Bank Products? To what extent do brokers at Merrill Lynch, Wells Fargo Advisors and elsewhere want to sell banking products? |
Registered Rep.
January 19, 2006 |
Is Supreme Court Leaning Towards a Decision Against Broker? The Supreme Court heard arguments yesterday in connection with a suit by a former Merrill Lynch broker against the nation's largest brokerage firm, and the early reaction to the hearing is that this time Goliath won. |
Investment Advisor
July 2007 |
Changes Shawn Dreffein, president of National Planning Corporation has retired... American Century Investments appointed Barry Fink... etc. |
On Wall Street
December 1, 2008
Frances A. McMorris |
Bank of America Gets on Board Bank of America finally gave in and agreed to join the industry-wide protocol in an effort to prevent an exodus of Merrill Lynch financial advisors. |
Registered Rep.
November 6, 2008 |
Bank Of America To Sign Protocol, Herd Still Weighing Options Bank of America intends to sign the so-called "broker protocol," an agreement signed by most of the brokerage firms and RIAs stipulating what client information is acceptable for a departing financial advisor to take without getting sued by the former employer. But when? |
Entrepreneur
November 2007
Rosalind Resnick |
Getting a Margin Loan Securing a margin loan can mean quick cash for startup, but it doesn't come without risk. |
Registered Rep.
February 7, 2012
Jerry Gleeson |
Morgan Stanley Smith Barney's King Breaks Away, Taps Dynasty for Help A Morgan Stanley Smith Barney team led by Larry King in Saratoga Springs, N.Y. left the wirehouse and started an independent registered investment advisor, King Wealth Management Group. |
Registered Rep.
April 20, 2010
Kristen French |
Merrill Won't Seek Growth Through Top Tier Advisor Hires Merrill Lynch plans to grow primarily by investing in current advisors and hiring rookies, said Merrill Lynch president of Global Wealth and Investment Management Sallie Krawcheck on Tuesday. |
The Motley Fool
April 21, 2009
Morgan Housel |
B of A's Ken Lewis: Still Mostly Clueless Maria Bartiromo asks Bank of America CEO Ken Lewis how he would prove to an upcoming shareholder meeting that Merrill Lynch won't become something that will require a 12-figure bailout by the federal government. |
Investment Advisor
June 2009
James J. Green |
Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive |
Investment Advisor
May 2010
Melanie Waddell |
Schapiro Speaks on Fiduciary, 12b-1s In an exclusive interview, the SEC Chairman speaks her mind. |
Investment Advisor
March 2006
Melanie Waddell |
Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away. |
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. |
On Wall Street
December 1, 2010
Frances A. McMorris |
Broker Pay: The Next Regulatory Target? The federal agency's chairman, Mary Schapiro, said she wants to see rules that encourage "compensation programs that incentivize the right kind of behavior and conduct on the part of the industry," as opposed to short-term risk-taking. |
Registered Rep.
September 15, 2008
Kristen French |
Merrill Lynch Sells Itself To Bank of America: Update 3 The biggest question, now that BofA has agreed to buy Merrill Lynch, is what Bank of America will do to hold onto Merrill Lynch's dearest asset -- its approximately 17,000 financial advisors. |
Investment Advisor
May 2009
Melanie Waddell |
Danger & Opportunity: The SEC Reformation An exclusive interview with SEC chief Mary Schapiro regarding financial services reforms. |
Registered Rep.
February 2, 2006
Kristen French |
Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest. |
Registered Rep.
October 28, 2008 |
Merrill Retention Package Angers FAs With "TRO" Language Merrill Lynch financial advisors are worried about one paragraph in the retention contract they received last Friday, October 24 -- very worried. And it has to do with the so-called broker protocol agreement. |
Investment Advisor
August 2009
Bob Clark |
Clark at Large: Something About Mary The drive to reregulate financial advice shifted into high gear on June 17, when the Obama Administration released its white paper containing proposals for 21st Century Financial Regulatory Reform, and passes it to SEC chair Mary Shapiro. |
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. |
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 Planning
March 1, 2005
Jennifer A. Liptow |
On the Job Mark Davis has joined the Washington staff of the Financial Planning Association... John Hancock Life Insurance in Boston has appointed William J. Cuff... New York Life Insurance has appointed Janett C. Greenberg... etc. |
Registered Rep.
December 11, 2002
Ross Tucker |
Merrill Program Seeks to Boost Women and Minority Advisors Executives from Merrill Lynch's global diversity group say the firm has to do a better job in retaining and boosting the performance of women and minority financial advisors. |
Investment Advisor
May 2009
Bob Clark |
Clark at Large: Creationism Investors and other financial consumers would be best served by a Glass-Steagall clone, separating financial advice from any and all financial product manufacturing, marketing, or sales. |
Registered Rep.
January 14, 2009 |
Schapiro, FINRA Head And Obama's SEC Chair Selection Head To D.C. Tomorrow For A Confirmation Hearing Mary L. Schapiro heads to Capitol Hill tomorrow morning for the hearing on her Senate confirmation as President-elect Barack Obama's nominee to chair the U.S. Securities and Exchange Commission. |
Registered Rep.
October 28, 2015 |
Merrill Lynch: A Simple and Streamlined Approach Merrill Lynch designed Merrill Lynch One, a multi-year, $100 million project that brought together five disparate money management platforms, each with their own fee structure, enrollment process and website. |
On Wall Street
October 1, 2009
Pat Olsen |
John Brett John Brett feels that at a time when financial advice is so valuable, the system to provide it has broken. But we need to return to an era of more regulation to rebuild trust. |
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. |
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. |
Investment Advisor
March 2009
Melanie Waddell |
Retirement News & Products March 2009 SEC charges Merrill Lynch advisors with securities fraud regarding pensions... New research shows deferred variable assets show promise for wealth transfer market... Research shows 7 of 10 households have a tax-advantaged savings plan through work... |
