Raymond James Grabs 3 Reps From Rivals
The new advisors join different channels with a total of $1 billion in assets and more than $2 million in yearly fees and commissions.
New Hire Roundup: Wickersham Joins ByAllAccounts; Linton Goes to Salient
This week in new hires, ByAllAccounts welcomed Mark Wickersham; David Linton joined Salient Partners; MassMutual promoted Jon Budd and welcomed Brian Mezey; and Rohith Eggidi joined Brinton Eaton.
FINRA Orders Raymond James to Pay $1.69 Million in Restitution
FINRA announced Thursday that it had ordered Raymond James & Assoc. and Raymond James Financial Services to pay restitution of $1.69 million to more than 15,500 investors who were charged unfair and unreasonable commissions on securities transactions.
Raymond James Prices Its $250 Million Senior Notes
CEO Paul Reilly says that the offering of the 4.25% senior notes "will support a number of potential initiatives and further enhance our liquidity position."
Broker/Dealer Excellence Awards 2009
Which broker/dealers are getting it right? Which broker/dealers go above and beyond in serving the needs of both their reps and their reps' clients? We...
Raymond James Issues Public Offering
Proceeds will help fund Raymond James's broker/dealer
Raymond James Veterans in 'Top Women Advisors' List
Raymond James financial advisors Sheryl Stephens and Margaret Starner were recently named among Barron's "Top 100 Women Financial Advisors." This list of distinguished advisors was...
2008 Broker/Dealer Excellence Awards
Which broker/dealers are getting it right? We asked readers about technology, wealth management offerings, practice management help and -- of course -- payout to gauge...
Five Questions for the Retirement Advisor
Marilyn Littlejohn, CFP, branch manager, Raymond James & Associates Inc., St. Petersburg, Fla. 1. Which retirement issue has hit you or your clients out of left...
A select group of market segments and companies are poised to improve results in the coming months, analysts say. --- Analyst: Ronald A. Tadross, CFAFirm: Banc of...