Wirehouse Teams Move to HighTower, Raymond James
Meanwhile, Advisor Center helps seven advisors transition to IBDs in its network with about $520 million in assets.
Advisors ‘Following the Money’ to New, Underserved Markets
The best new markets for advisors are in increasingly far-flung places, away from traditional financial hubs like New York and Los Angeles.
GOP Jumps on Minimum Wage Job-Loss Report
The CBO report said boosting the minimum wage may cost as many as 500,000 people their jobs.
Raymond James Adds $100M Team; $84M Rep Returns to Securities America
The team joins from Wells Fargo, while the advisor comes back after departing from Valmark Securities.
Changes Afoot in Washington Well Ahead of Midterm Elections
"It’s virtually certain that Republicans will retain control of the House — and now are within striking distance of taking the Senate,” says strategist Valliere.
SEC, FINRA Enforcement: Ponzi Schemer Caught Diverting Victims’ Settlement Money
In other actions, FINRA censured and fined a Dayton, Ohio-based firm and its principal on compliance failures.
NASAA’s Fleming Named SEC’s First Investor Advocate
Rick Fleming, a lawyer, becomes the first person to lead the Office of the Investor Advocate, which was created under Dodd-Frank.
Focus Draws $1B UBS Breakaway Team
Raymond James tweets its recruiting news, as Morgan Stanley and UBS share their latest advisor deals.
How to Offer a ‘Mind-Blowing’ Client Experience
Successful advisors increasingly take a highly personalized approach.
Which Funds Will Outperform? Active Share Benchmarking May Offer Clue
Research shows that portfolios that vary significantly from their indexes tend to outperform them over time.