Cetera Restructuring Due Diligence Ops
Pressure is on parent company RCS Capital to improve performance.
Recruiting Roundup: Raymond James Nabs $300M Wells Fargo Team
Meanwhile, the Georgia-based financial advisory firm Patton, Albertson & Miller joins Focus Financial Partners.
4 Takeaways From Raymond James Women’s Symposium
At the woman-focused conference, experts share advice on business, life and the balance between the two.
SEC Needs to Move on Fiduciary Rule, Ex-SEC Chiefs Say
At TD Ameritrade Advocacy Leadership event, ex-SEC Chairwoman Mary Schapiro said, “I feel very strongly the SEC needs to move forward” now on fiduciary.
What’s Next for LPL, Marcato & Casady?
With activist investor Richard McGuire snapping at its heels, the independent broker-dealer may have to up its game.
Raymond James Plans New Venue for Growing Women’s Symposium
The group had more than 500 guests at its event in Florida last week, including 23 prospective advisors.
7 Ways Advisors Can Add Clients, Stay Relevant
On a Morningstar panel, all the experts agreed that a solid value proposition is key to retaining and growing an advisor's client base.
Female Clients Talk About Why They Love Their Advisors
For insight on how to best serve female clients, the Raymond James Women's Symposium turned to clients themselves.
Why SEC Is Cracking Down on 12b-1 Fees and ‘Distribution-in-Guise’
Once again, the SEC provides "guidance" to advisors in the form of an enforcement action, this time a $40 million judgment against First Eagle.
Employee Channel Adding Biggest Teams Ever: Raymond James Exec
Broker-dealer says recruiting on West Coast and Northeast now account for about one-third of recruited reps.