Raymond James Nabs $2.6M Ex-RBC Team
In addition, a former Merrill Lynch rep affiliates with LPL Financial, and Baird adds an ex-UBS team.
Top 15 States With Most RIAs
The number of RIA firms increased to 31,975, according to SIFMA’s 2014 Factbook, despite an active merger year.
Top 10 States With Most Millionaires: 2015
Several states made big jumps on the list thanks to the oil boom, Phoenix Marketing found.
Enforcement Roundup: Wells Fargo, JPMorgan Slammed Over Mortgage Kickbacks
Meanwhile, the SEC charged a Fort Lauderdale-based advisory fund manager and his firm with running a Ponzi scheme to buy jewelry, cars and a house.
So You Want to Launch Your Own ETF?
With a strong idea, loyal clients or unique niche, today you could rightly say: “When I want to invest in an ETF, I launch one.”
Top 10 States With Best Performing 401(k)s
Find out which states' 401(k) plans moved into the Top 10 and which fell out in 2014, according to Judy Diamond Associates.
GOP to Warren: That Dodd-Frank Rollback Was Just the Appetizer
The Republican sponsor of a measure easing a bank regulation is planning to pick new fights in 2015.
Navigators: How to Guide Clients Through Big Life Changes
A new certification helps advisors with the human side of guiding clients through major transitions like retirement.
SEC Enforcement: Man of Many Aliases Charged With Stock Fraud
California man with several aliases was charged with fraudulently selling $900,000 worth of stock that he didn't actually own.
10 Best States for High-Paying, High-Tech Jobs
A Milken Institute index ranks states’ ability to convert their science and technology resources into high-paying jobs.