New Hire Roundup: SEC Names Levine to Head Advisor Exams in Chicago
In another career move, Elliot Hollingsworth has joined wealth advisory firm Halbert Hargrove as regional director.
The Broker-Dealer as Custodian: Raymond James
Once upon a time, you could draw a bright line between an independent broker-dealer rep and an RIA, between an IBD and an RIA custodian.
Wells Fargo’s Wimbish: Navigating the 30-Year Retirement
Wells Fargo retail retirement director Karen Wimbish on guiding clients not just to retirement, but through it, and the firm's new Income Center.
New Hire Roundup: Northern Trust Welcomes Marsh
Meanwhile, LIMRA has hired Dr. Betty Moon as managing director of Bank Insurance and Securities Research Associates.
AIG Shareholders Still Want a Nicer Bailout
Why would anyone call Paulson, Geithner and Bernanke to testify on Delaware’s corporate governance standards for reverse stock splits? There's something else going on here.
New Hire Roundup: Vanguard’s McNabb to Serve Additional Term at ICI
Meanwhile, Dynasty Financial Partners announced a new partnering with Nova Wealth Advisors.
Experimenting With New Compensation Models
The variety of fee structures is growing, as advisors fine-tune offerings for a changing client base.
Hong Kong-Shanghai ‘Through Train’ Opens Up Investment, Arbitrage Options
Here's a move that marks yet another important step in China’s goal of greater participation in the global financial markets.
New Hire Roundup: Putnam Names Gould Head of Institutional Management
In another personnel move, Mariner Wealth Advisors has added ex-NFL quarterback Mark Vlasic as a senior wealth advisor.
9 Reasons Why Economy Stinks, According to Alan Greenspan
The former Fed chief sees a bunch of reasons why the economy won't kick into high gear, and none of them has a simple fix.