FINRA Regulatory Chief Axelrod to Depart
After 28 years at FINRA and its predecessor, Susan Axelrod will step down.
Raymond James Has Near-Record Recruiting Year
Execs Scott Curtis and Tash Elwyn talk to ThinkAdvisor about why recruiting in the independent and employee channels is strong, with no sign of slowing.
$2B Trilogy Group Transitions From NPH to LPL
In other news, Ameriprise recruits Wells Fargo reps with nearly $370 million in assets.
FPA NexGen Picks Former Teacher as 2018 President-Elect
Autumn Campbell of New Orleans will assume the role in January.
PIABA Names a New President
Protecting DOL fiduciary rule and setting up an unpaid arb award pool for investors are among Andrew Stoltmann's priorities during his one-year term.
‘Fearless Girl’ Was Never a ‘Statement of Accomplishment’: State Street
Brie Williams of State Street, which commissioned the statue, discusses her firm's commitment to gender pay equity in the wake of a $5 million lawsuit.
Securities America Adds $1.35B Group From LPL: Recruiting Roundup
Plus, Woodbury Financial, Ameriprise, LPL, Raymond James and Janney share details on their newest recruits.
RIA M&As on a 5-Year Growth Tear: Echelon Report
Plus, the average asset level of breakaway reps is up to $300 million, according to the investment bank.
3 Ways to Beat ‘Autumn Angst’
It is possible for advisors to stay focused and get to the end of the year with success and sanity.
LPL Grabs Longtime Wells Fargo Exec to Be Chief Strategist
John Lynch was with Wells Fargo since 1996 and is now based in Charlotte, N.C.