Merrill’s New Training Could Put Advisors in ‘Sticky’ Situation
The program is intended to help advisors with succession, but it could make it harder for advisors and clients to leave, Mark Elzweig says.
Raymond James' Execs Share Aims at Confab
Raymond James defines itself by its conservative approach to the financial-advice business, and its executives stressed this point when discussing possible acquisitions during the independent channel's national conference held recently in Washington, D.C. When it comes to the advisor space, “We do not want to make transformative acquisitions,” explained CEO...
Raymond James, the New Borders Bookstore?
Fiduciary advocates need to reframe the battle: think "disruptive innovation," as has happened to book publishing and is happening to BDs.
The 2014 Broker-Dealer Reference Guide
Some observers of the independent broker-dealer universe might be tempted to explain its current state by counting the acquisitions that Nicholas Schorsch's Realty Capital has made over the past year.
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 CEO Defends Fee Changes, Not Looking to Do Something ‘Cool’
CEO Paul Reilly also explains "schizophrenic" approach to mortgage products at Raymond James conference.
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.
Raymond James IBD Loses Compliance Chief
Raymond James Financial Services CCO Donald Runkle has left the firm. No replacement has been found.