LPL Continues Strong Recruiting Drive in Q3
A large number of advisors moved to the IBD from Cetera, Wells Fargo and Edward Jones.
12 Best & Worst Broker-Dealers: Q3 Earnings, 2016
After two weak quarters, the financial sector begins to see better results.
Wells Fargo-SigFig to Roll Out Robo-Advisor in ’17
The wirehouse is the second large employee-advisor firm to go this route in its use of digital products and services.
Advisor Group Says Price ‘Is Right’ for CEO Slot
The IBD firm, which has some 5,000 reps, taps a former wirehouse and tech executive for the position.
UBS Advisors Stay Ahead of Rivals: Q3 Earnings
The average level of fees and commissions, as well as assets, keeps the FAs in the Americas at the head of the pack.
Recruiting Roundup: Ameriprise Adds UBS Rep, RBC Taps Complex Chief
Deutsche Bank Wealth Management expands executive team by hiring Credit Suisse managers; more.
Recruiting Roundup: LPL Affiliated Reps Jump to Focus Financial, Form $600M RIA
Meanwhile, the Harvest Group breaks away from UBS with about $300 million in assets; more
Merrill Lynch to Enter Robo-Advice Race
Merrill Edge plans to introduce a robo-advice offering later this year that combines online investing technology with human advisors.
UBS Settles With SEC Over Sales of ‘Complex Products’
SEC says the wirehouse must repay 8,700 investors over $8 million and pay a fine for not reasonably training its advisors.
Wells Fargo Indie Channel Picks Up 6 Reps From Rivals
The advisors move to the firm with over $500 million in client assets from UBS, Bank of America and other broker-dealers.