BDs Share Latest FA
In early April, Baird said it recruited a team of seven employee advisors with about $770 million in client assets from Wells Fargo in Houston, while Royal Alliance announced that it added two independent teams in Chicago and Salt Lake City with combined assets of more than $400 million and...
Recruiting Roundup: Baird Grabs Wells FAs, UBS Branch Manager; Royal Adds 2 Indie Groups
The new Baird group has about $770 million in client assets, and the new Royal Alliance-affiliated reps have more than $400 million.
Top Posts at Broker-Dealers See Big Changes
LPL, Morgan Stanley and Raymond James all announced big moves recently.
LPL Branding Plan: A Work in Progress
The independent broker-dealer ends its CNBC campaign this week and refuses to elaborate on future plans.
Raymond James Names Campagnoli Chief of IT
The veteran tech expert will now lead tech operations across the financial-services firm.
New Hire Roundup: Putnam Names New GAA Leadership Team
This week in new hires, Putnam announced a new leadership team for its global asset allocation organization, and Steve Antonakes became acting deputy director of the Consumer Financial Protection Bureau.
Baird Hires Wells Fargo Recruiter
Peter Miller will lead the employee-owned group's efforts to add financial advisors in the Northeast.
Raymond James Grabs Another Husband-Wife Team From Morgan Stanley
The Houston-based group has about $70 million in assets and $700,000 in yearly production.
SEC’s Top Cop, Khuzami, to Leave
The SEC’s top cop, Robert Khuzami, plans to leave the agency later this month after four years as its enforcement director, the SEC announced Wednesday.
Raymond James Nabs $225M Wells Rep
The veteran advisor, Mark Teed, joins its employee channel.