New Hire Roundup: Advisor Software Adds Nguyen as Chief Technology Officer
Meanwhile, Hartford Funds announced that Tom Scanlan, Tom Monks and Nick Hammer have joined as advisor consultants.
Ex-NFL Player Accused of Ponzi Scheme: SEC
A former New England Patriot and a partner are accused of bilking investors who thought they were funding loans to pro athletes.
Genworth, Cetera Close Unit Sales Deals
"We are getting back to our roots," says Genworth Financial Wealth Management President and CEO Gurinder Ahluwalia.
SCF Lures Walnut Street Team of 4 Advisors
The move puts the Fresno-based independent broker-dealer at more than $1 billion in affilated client assets and 140 advisors.
Cetera Buying Fellow IBDs Tower Square, Walnut Street From MetLife
With the addition of 800-plus MetLife independent reps, the Cetera BD network will comprise 7,000 advisors managing $130 billion in assets.
A Plan for the Planners
Succession planning has never been at the top of most advisors' hit lists. As Tim Edwards, a principal with Prospera Financial, puts it: "It's one...
Associated Securities Expands Its Sales, Geographic Mix
Associated Securities' President and CEO John Hurley has been with the Los Angeles-based independent firm for more than a year now. And, Hurley is pleased...
Broker/Dealer Special Report: The Financials--The Right Fit
For most broker/dealers and their representatives, 2004 was successful: new clients were added, assets under management grew, and revenues were up. That meant that in...