Raymond James Adds $1.1M UBS Rep, Ex-RBC Team
By Janet LevauxMeanwhile, Focus Financial affiliate adds an advisor with some $200 million in assets.
January 08, 2015
Need Professional Help? If You’re Looking for a Successor, Hire a RecruiterWhen it comes to hiring a successor, using a professional recruiter is not really an option any more: You just need to do it.
January 07, 2015
SEC to Conduct ‘Presence Exams’ on Never-Examined AdvisorsSECs 2015 exam priorities will include protecting investors, particularly retirees and pre-retirees; market structure issues like cybersecurity; and using data to identify illegal activity.
January 07, 2015
Firm Builds Niche Client Base of Pro Baseball StarsWinpoint's Joe Geier, advisor to Cal Ripken Jr. and dozens of other pros, tells the story of how he broke into advising MLB stars.
January 06, 2015
Morgan Stanley Picks Up Ex-Merrill Institutional Team in ChicagoRaymond James adds independent RIA group, while HighTower brings on a former UBS group.
December 30, 2014
Should CFP Board Settle Camarda Case? My Argument and the Board’s ResponseIs it time to settle the case quietly, before it goes to trial? I say yes, but the CFP Board chairman begs to differ.
December 29, 2014
The Importance of People SkillsIt may surprise you to hear that one of the main points that the Army stresses when training its officers is that to command effectively, its important that your subordinates like you.
December 29, 2014
Think Like an OwnerThe veteran advisor who has built a billion-dollar wealth management firm says theres one troubling issue he and his owner-advisor peers share.