Former SEC Chief Walter Named FINRA Public Governor
FINRA announced Thursday that former SEC Chairwoman Elisse Walter has been elected to FINRA’s Board as public governor.
Fiduciary Will Stay on SEC Agenda ‘Until It’s Solved’
But “being on the agenda and getting it done are two different things,” says SEC’s trading and markets director, Steve Luparello.
New Hire Roundup: Mercer Investments Adds 4
Also in personnel moves, Cathy Clauson joins AssetMark, and Tonnie Wybensinger joins the Financial Services Roundtable.
Misperception of Millennials Skews Financial Advisors’ Strategies: SIFMA Panel
A panel at SIFMA’s private wealth conference discusses what’s on younger investors’ minds, and it’s not what many thought.
Where the Wealthy Are Investing in 2014: Morgan Stanley Poll
High-net-worth investors are overwhelmingly bullish despite political and budget uncertainty ahead. Here's where they plan to put their money.
Raymond James Taps Morgan Stanley Manager for San Diego Post
The broker-dealer hires the wirehouse veteran to boost its employee advisor channel in Southern California and also releases August performance figures.
LinkedIn Payoff: Morgan Stanley FA Lands $70 Million Account
Sending a LinkedIn invitation and getting a $70 million account were all in a day’s work for one Morgan Stanley financial advisor.
Getting Referrals Your Own Way
To be effective in seeking referrals, advisors are trying a personal, customized approach.
Morgan Stanley Grabs 4 From Merrill, Wells
The new advisors come on board in the Midwest with about $3.7 million in yearly fees and commissions.
Top Posts at Broker-Dealers See Big Changes
LPL, Morgan Stanley and Raymond James all announced big moves recently.