The 2014 Broker-Dealer Presidents Poll
Our fifth annual Broker-Dealer Presidents Poll found the leaders of independent broker-dealers are optimistic even though they’re still smarting from the costs of staying compliant.
If You Go Indie, Will Clients Follow? The Great Leap of Faith
Going independent requires not just careful cost-benefit analysis but also a focus on your clients’ confidence—and your own.
Advisor Recruiting Up 40%: Raymond James’ Curtis
It’s not another 2009, but it’s the best of the past few years, says RJFS President Scott Curtis.
Raymond James Exec: No Big Merger
Raymond James Financial Services President Scott Curtis also describes the independent broker-dealer's legislative, IT and other aims at national confab.
New Hire Roundup: LPL President Moore Elected to FSI Board
Also, DoubleLine adds four and AssetMark names Natalie Wolfsen chief commercialization officer.
Raymond James IBD Loses Compliance Chief
Raymond James Financial Services CCO Donald Runkle has left the firm. No replacement has been found.
Merrill Grabs $300M Morgan Stanley Team
Also, an ex-Wachovia advisor joins Pitcairn, and Raymond James adds succession tools.
SEC, FINRA, CFPB Enforcement: BofA Busted for Illegal Credit Card Practices
In other actions, Hewlett-Packard will have to pay $108 million to settle SEC and DOJ charges of FCPA violations.
‘Brutalized’ Breakaway Brokers Speak Out: 7 Stories From the Road to Independence
From “pain and humiliation” to a “quite positive” experience, seven brokers tell ThinkAdvisor their stories of breaking away.
Raymond James Helps $1.1M Merrill Team Go Indie
Baird adds a branch manager from RBC, and the Retirement Benefits Group welcomes an ex-LPL Financial advisor.