Raymond James Adds $170M Morgan Stanley Duo, Shares Financial Update
The firm boosted assets, fees and commissions in August and in September had "elevated expenses" tied to Hurricane Irma.
5 Big IBD Deals Dwarf RIA Mergers in 2017
Five large IBDs “are helping to shape the IBD channel into a concentration of a small number of large firms,” Fidelity reports.
RBC Adds $350 Merrill Team, $125M Morgan Stanley FA: Recruiting Roundup
Meanwhile, wirehouse reps depart for Baird, Ameriprise and Arkadios Capital; Royal Alliance and CAPTRUST attract large groups.
Regulators Charge SII With ‘Unethical’ Conduct Tied to REIT Sales
Advisors' commissions on the sales topped $278,000, according to Massachusetts securities regulator William Galvin.
Carson Group Renames 2 Business Units
Its institutional business has grown assets under advisement to about $8.6 billion in the past three years.
Dynasty Financial Hires New CFO
Meanwhile, its Capital Strategies group is growing loans to advisory firms and revenue participation notes.
Cetera Taps Ex-AFLAC Marketer as CMO
It also brings back a large financial-institutions client with $507 million in brokerage assets.
The 2017 Broker-Dealers of the Year Get Real on Tech
The broker-dealer leaders discuss which technology systems they can do without.
Raymond James Nearly Back to ‘Normal’ After Irma
The Florida-based firm, which shifted resources out of the area due to Hurricane Irma, pledges to support associates affected by the storm.
Focus Financial Adds $1.5B RIA in North Carolina: Recruiting Roundup
Kestra, Dynasty, Securities America, FiNet, Janney, Mercer and RBC announce new advisors and teams.