Morgan Stanley Team Goes Hybrid via LPL
By Janet LevauxThe group, one of the largest teams in San Diego, left Morgan Stanley Smith Barney recently to set up an independent wealth-management firm, Ibis Capital. The firm plans to retain about 80 client relationships.
March 07, 2012
House GOP Rejects Frank Measure for SEC Funding BoostRepublican members of the House Financial Services Committee rejected, 25-17, an amendment introduced by Rep. Barney Frank, D-Mass., that called for approving President Barack Obamas proposed budget increase for the Securities and Exchange Commission in 2013.
March 05, 2012
Billion-Dollar Merrill Private Banking Team Joins HighTowerThe $1 billion Merrill Lynch private banking team joined Chicago-based RIA HighTowers New York office on Friday.
March 05, 2012
Happy? Afraid? Generous? United Capital’s Money Mind Analyzer Figures You OutUnited Capital may not officially be in the marriage guidance business, but considering the private wealth firm’s latest venture, it has a nice sideline in couples counseling.
March 02, 2012
Charles Goldman to Advisors: Be Paranoid About Your BusinessFormer Schwab, Fidelity executive warns SSG advisors at conference to avoid arrogance, focus on forming a vision for their firms and not to overlook power of wirehouses.
March 02, 2012
At SSG, a Focus on Compliance, Including Expert Advice for State- and SEC-Registered RIAsSome states are shifting field examiners to handle registration duties for the Big Switch, says Chris Winn of AdvisorAssist; states reaching out to RIAs, says NCS Kellli Capitano.
March 02, 2012
FINRA to Restructure BrokerCheck, Giving Investors More PowerProposed changes include not only unifying BrokerCheck and the SECs IAPD system, but also divulging broker/advisor test scores.
March 01, 2012
Greater Female Representation Pays Off for the Financial Services IndustryWere in a relationship business and women are good at relationships; so it should come as no surprise that, when given the opportunity, women succeed at all levels of the financial services industry.