Raymond James Grabs $120M Team From Merrill
The two female financial advisors go independent with the firm in Utah.
Post-Merger Tech Integration Doesn’t Have to Be Painful
Technology should not make or break a potential merger, but integration, compliance and liability issues should certainly be part of the discussions.
HD Vest on Track to Add 620 Advisors in 2015
The firm is "having a great year," CEO Roger Ochs told ThinkAdvisor.
Pentagon Honors Wells Fargo Advisor for Service
Stephen H. Lee has raised over $5 million to support USO programs for wounded soldiers.
Focus Financial Adds $1B RIA in Chicago
Also, Raymond James adds a $390 million independent-employee group in Beaufort, S.C., from Wells Fargo.
FINRA Earnings Surge as Fines Double
The self-regulator collected more than twice the amount of fines in 2014 as it did a year earlier, though the number of fines fell.
Merrill Adds $750M Ex-Barclays Group in Houston
The group was part of Lehman Brothers until 2008.
Krawcheck: Want to Shrink Your Business? Ignore Women
“The retirement crisis is a women's crisis,” Sallie Krawcheck says, as some 80% of men die married, and 80% of women die single.
6 Social Media Strategies for Advisors
Not sure how to get started on social media? Overwhelmed by the options or the perceived time soak? Help is here.
LPL Names New Head of Client Services
The news follows several other executive shifts at the independent broker-dealer.