New Hire Roundup: SEC Names Levine to Head Advisor Exams in Chicago
In another career move, Elliot Hollingsworth has joined wealth advisory firm Halbert Hargrove as regional director.
Cetera Strikes IPO Investment Deal With JMP, Expands Tech Ties With Broadridge
The group's 9,700 advisors will be able to offer retail clients access to initial public offerings and its financial-institution clients more self-clearing capabilities.
12 Best & Worst Broker-Dealers: Q2 Earnings, 2014
Some of Wall Street’s major players still struggle with litigation expenses; many are finding ways to further boost their wealth results.
How, and Why, to Raise Your Fees
Many advisors, oriented more toward helping people than making profits, hesitate to raise fees. But does your pricing represent your value?
The Freewheeling Life of the Virtual Advisor
What early adopters are finding on the advisory field's online frontier.
New Hire Roundup: Women in ETFs Announces Board Members, Leaders
Also in new hires, FNEX has named Neal Wolkoff to its newly formed board of advisors.
Morgan Stanley Wealth Earnings Up, but Merrill Stays Ahead in Q2
Despite Gorman’s push, the Morgan unit still has room for improvement on some fronts compared to its main rival, Merrill.
Morgan Stanley Beats Estimates on Smaller Drop in Fixed Income: Q2 Earnings
Morgan Stanley saw a smaller drop in second-quarter fixed income trading revenue than Citigroup or JPMorgan.
At Triad, Being RIA Friendly Is Old Hat
Many broker-dealers have moved over the past few years to accommodate their fee-based reps by adding a custodial platform so those reps can run their own RIAs.
Mutiny? Brokers Are Embracing Fiduciary Standard, if Not Their Employers
Deutsche Bank suit and countersuit show that some brokers are putting their clients' interests first even when their employers dictate otherwise.