Wirehouse Firms
Learn the ins and outs of the wirehouse channel, including news, analysis and more on Bank of America-Merrill, Morgan Stanley, Wells Fargo and UBS.
Morgan Stanley Team Goes Indie With Raymond James
By Janet LevauxThe group includes four advisors, three of whom have more than 20 years in the business; it is based in Franklin, Tennessee.
December 23, 2020
SEC Seeks Feedback on BDs' Custody of Digital AssetsSecurities regulator also wants comments on "evolving standards and best practices" with respect to custody of digital asset securities.
December 23, 2020
Ex-Merrill Rep Sentenced to 8 Years in Prison for FraudThe former broker had pleaded guilty to investment advisor and wire fraud.
December 23, 2020
How to Get Clients Started on Legacy PlanningRather than focusing on inheritance, ask clients what they want their long-term impact to be, says attorney and tax expert Toby Mathis.
December 22, 2020
SEC to Ramp Up Reg BI Exams in January"Most advisors don't have a process in place to cover what SEC Reg BI requires" when it comes to retirement rollover options, says Ed Slott.
December 17, 2020
Fusion Financial Founders to Provide 'White Glove' IT Services for RIAs: Tech RoundupAlso, Broadridge appoints a chairman for its LTX trading platform.
December 17, 2020
The Biggest News of 2020, and How It Changed EverythingA look at COVID-19, responses to it and how these developments rippled across the financial markets, government and other sectors.
December 17, 2020
Top News That Shook Up the Advisory Industry in 2020A look back at the year's biggest deals and VIP developments affecting firms that serve financial advisors.