Opening Up on Fintech
Leaders sound off on the latest technology, Equifax breach and more.
Will More Firms Leave the Broker Protocol?
Morgan Stanley's recent decision to leave the Protocol for Broker Recruiting has thrown a monkey wrench into the current recruiting environment, which general has been on a tear along with the stock market.
Waddell & Reed Makes Exec Shifts at Ivy Funds, BD
The firm announced the departure of Thomas Butch and new appointments to key leadership slots.
Ameriprise Adds 3 Morgan Stanley Advisors: Recruiting Roundup
The advisors come on board in Arizona, Massachusetts and Minnesota with a total of $234 million.
Raymond James Wraps Up $172M Deal
The firm completes purchase of Scout Investments and Reams Asset Management and shares its October results.
13 Best & Worst Broker-Dealers: Q3 Earnings, 2017
Most, but not all, large financial firms with broker-dealer operations reported positive results for the quarter.
3 Ex-TD Ameritrade Execs Pump Cash Into TAMP Firm
Investor Bryce Engel comes on board to lead Fusion Capital, while Asiff Hirji and Wayne Ferbert will join the board.
Securities America Adds $446M All-Women RIA: Recruiting Roundup
Meanwhile, RBC draws teams from Wells Fargo and UBS, and Ameriprise brings on a group from Merrill Lynch.
Will More Firms Leave Broker Protocol?
After Morgan Stanley's exit, the recruiting scene could shift in a variety of ways, says one industry watcher.
Brokers ‘Not Happy’ With Merrill’s New Comp Plan: Recruiter
Danny Sarch criticizes the bonus hurdles, while other industry watchers say the targets are achievable.