Wells Fargo, LPL, Raymond James to Repay $30M to Charities, Retirement Plans
Wells Fargo, Raymond James and LPL failed to waive mutual fund sales charges that more than 50,000 accounts were entitled to, FINRA says.
Wells' FiNet Indie Advisors Join FSI
Wells Fargo Advisors Financial Network (FiNet) has gifted complimentary FSI memberships to its 1,250 independent financial advisors.
New Hire Roundup: Prudential Names Ward Head of Stable Value
In other new hires, HighTower announced that Kimberly Hollenbeck will join the firm as executive director of business development.
New Hire Roundup: Wells Fargo Advisors Names 3 to Key Roles
This week in new hires, Wells Fargo Advisors filled three leadership positions; Gail Graham and Stephanie Bogan joined United Capital; Jonathan Morris went to Dynasty Financial Partners; and IRI announced changes to its board.
Wells’ FiNet Adds Teams From Morgan Stanley, UBS & Chase
The newly independent financial advisors are coming to Wells Fargo's Financial Network with a total of nearly $675 million in assets.
LPL, Wells’ FiNet Tap New Execs
LPL FINANCIAL SAID IN EARLY JUNE THAT Dan Arnold, currently head of strategy for the largest independent broker-dealer, had been named chief financial officer of the company, the latest step in a management reorganization that has played out over the last few months.
New Hire Roundup: Christian Named FiNet President
This week in new hires, Kent Christian was named the new president of FiNet; BlackRock named Mark Howard-Johnson head of global real estate securities management; and Ross Hikida became a member of AARM Corp.’s board.
Wells Fargo Names New FiNet Chief
Wells Fargo Advisors said Tuesday that Kent Christian is the new president of FiNet, the firm’s independent channel.
FiNet Chief Outlines Growth Drivers
John Peluso, president of Wells Fargo Advisors Financial Network, says the independent channel of Wells Fargo had a very good 2011, and he expects the group to have an even better 2012.
John Peluso: The 2012 IA 25 Extended Profile
It probably would have been easier just to ask John Peluso what he hasn’t done during his tenure at Wells Fargo.