Raymond James Adds Teams from Wells Fargo, LPL
The firm brings on employee and independent reps with nearly $350 million in assets in Connecticut and Florida.
Raymond James Nabs $1.2M Merrill Rep in Michigan: Recruiting Roundup
A veteran wirehouse advisor with about $110 million in client assets makes the move in the greater Detroit area.
Alex. Brown Is Back
Now part of Raymond James, the 200-year-old boutique wealth firm's business could double over the next few years, its president said.
New Year, New Thinking
The changes in the White House and Washington, D.C., this year are likely to bring an interesting mix of opportunities and challenges to financial advisors and their clients.
Karin Kimbrough, head of investment strategy for Merrill Lynch Wealth Management, joined Bank of America in 2014 after working for the Federal Reserve and for Morgan Stanley.
Department of Labor’s 2016 by the Numbers
A changing administration portends a change in direction, but here’s how the DOL did in 2016.
Will Trump SEC End ‘Broken Windows’ Cases Against Advisors and Brokers?
Chairwoman White’s departure may not end the Enforcement Division’s pursuit of minor violations.
U.S. Bancorp Wealth Unit Taps Former-Wells Fargo Exec for Key Post
Karen Wimbish served as the head of the bank's retail retirement group and president of Wells Fargo Advisors' Latin American Group.
Wirehouses Reps Move to Baird, RBC: Recruiting Roundup
Meanwhile, two LPL-affiliated wealth firms with $2 billion in combined assets plan to merge.
FINRA’s 12 Fines of Christmas: Wells Fargo, LPL Flub Security of Records
The companies were fined a total of $14.4 million, as some firms failed to keep millions of records in the proper electronic format.