Baird Nabs Morgan Stanley, UBS Advisors; Securities America Expands Recruiting Group
The new Baird teams come on board with some $800 million in client assets under management in Minnesota and Tennessee.
Securities America Recruited Production Jumps More Than 300% in ’12
This includes the recent addition of two groups with a total of roughly 160 financial advisors.
Securities America Adds Group With 130 Reps, $1 Billion in Assets
Investors Security of Suffolk, Va., joins the Nebraska-based firm, which added an Alabama team last month.
Recruiting Activity Gathering Steam As FAs Embrace Wide Range of Options
Many brokers continued to move between the wirehouses in the late summer and early fall.
RIA Affiliate of LPL Adds 45 Advisors in Q2
Independent Financial Partners now has close to 500 advisors, including new independent reps from Wells Fargo, Morgan Stanley and other firms.
Securities America Has ‘Never Been Stronger’
At Securities America's national conference in Denver, Jim Nagengast, CEO and president, was optimistic about the firm's future and partnership with Ladenburg Thalmann, which acquired the broker-dealer in the fall.
Richard Lampen: The 2012 IA 25 Extended Profile
A person could be forgiven for not immediately connecting Ladenburg Thalmann to the independent space; the firm’s sea change in strategy occurred only a few years ago, after all.
Securities America Settlement May Speed Up Its Sale
A judge gives final approval of an $80 million class-action settlement; other suits could still emerge, experts say
Mastering Social Media
In a sign of the times, 600 advisors at an Investment Management Consultants Association conference recently crammed into a training session called “Get Linked In, Not Left Out: Compliance Friendly Ways to Harness Social Media’s Power in Your Practice.” That’s no typo: 600.
Judge Rejects Securities America Class Action Settlement in Big Blow to BD
Provident, Medical Capital ruling has wider implications for broker-dealer industry.