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.
Tips for Prospecting During the Pandemic: Fidelity
By Bernice Napach"You can't wait for the world to come back to face-to-face," says David Canter, head of its RIA channel.
June 22, 2020
What Clayton's Departure From SEC Would Mean for Reg BIThe "effectiveness" of Reg BI, Phyllis Borzi said, "will rise and fall on how well it's enforced."
June 22, 2020
FINRA Amends Suitability, CAB Rules to Align With Reg BIThe changes clarify standards and inconsistencies with Reg BI, and are effective June 30.
June 19, 2020
RBC Wealth Adds $2B Reps From Wells Fargo, UBS and Other FirmsThe firm is picking up advisors in New York, Pennsylvania, New Jersey, Virginia and Maryland.
June 18, 2020
Succession Planning Strategy: Convert to an RIA FirstThe wirehouse model of retirement often leaves money on the table.
June 18, 2020
CCO Hit by FINRA for Business Email InfractionsThe FINRA actions shows the importance of retaining electronic communications, Eversheds Sutherland attorneys write.
June 18, 2020
Wells Fargo to Sell Alt Fund Platform to iCapitalWells Fargo will invest in iCapital as part of the deal.
June 18, 2020
$1.2B UBS Team Goes Indie With DynastyThe team is based in Florida; Dynasty also grabbed a UBS team with $400 million in Pennsylvania.