TD Ameritrade Endows Director of Financial Planning for Texas A&M
Nathan Harness, currently an assistant professor of finance at TAMU, will step up to the position of TD Ameritrade Director of Financial Planning.
New Hire Roundup: John Mendez Nominated to Be SIPC Chairman
In another personnel move, Craig Anzlovar has joined Pioneer Investments as fixed income client portfolio manager.
Raymond James Taps Ex-Wirehouse Manager for Bay Area Growth
The former Morgan Stanley, Citi and Merrill Lynch employee will be based in San Francisco.
13 Best & Worst Broker-Dealers: Q3 Earnings, 2014
The third quarter saw several firms get hit with problems, while others were able boost their financial results.
Morgan Stanley Courts Athletes, Singers With New Wealth Unit
The wirehouse targets top entertainers with about 70 financial advisors.
Morgan Stanley Payouts in ’15: Will a Boost in Deferred Comp Hurt Reps?
Industry experts are divided on the impact of this pay shift on advisor retention and recruiting.
2 Hybrid RIAs Add Wirehouse Reps in California
Plus, Lebenthal Wealth Advisors opens branch in North Dakota energy boomtown.
New DOL Fiduciary Rule Before Obama Leaves Office? Maybe Not
The neverending speculation about when DOL might finally issue a redefined fiduciary standard came up once again this week at the SPARK Institute conference.
UBS’ Advisor Production Tops Merrill’s (Again), as Q3 Profits Rise
UBS Wealth managers in the Americas have average annual fees and commissions of nearly $1.08 million.
Snowden Lane Picks Up $270M Merrill Duo
This news follows the boutique firm’s recruiting of a UBS team in late September.