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.
FINRA Bars Ex-Merrill Rep for Taking Co-Worker's Money
By Jeff BermanAn ex-associate in Seattle allegedly took $24,000 from a co-worker to use for her own expenses.
November 08, 2019
Honoring Advisors Who Serve(d): Veterans Day, 2019ThinkAdvisor's yearly compilation highlights the stories of 14 military veterans who also serve in the financial advisory industry.
November 08, 2019
Wells Fargo's New CEO Makes First Big HireA politician, banker and Washington insider, Bill Daley may be able to help the bank's image problem.
November 07, 2019
Merrill to Boost Payouts for Retiring AdvisorsThe wirehouse says it aims is to invest more in succession planning for its current reps and less on recruiting of veteran advisors.
November 07, 2019
Raymond James, Steward Add Merrill Reps With $1B: Recruiting RoundupMeanwhile, Kestra Private Wealth, KMS Financial Services and LPL Financial announce their latest hires.
November 06, 2019
Merrill, Raymond James to Return $12M in Excess 529 Plan FeesThese matters concern issues that pre-date FINRA's 529 Plan Share Class Initiative, announced earlier this year.
November 04, 2019
$500M Merrill Team Moves to StifelThe three advisors were with the Thundering Herd for the past decade; earlier, they worked for UBS.
November 04, 2019
Schwab Impact Opens in San Diego With 2,200 Advisors AttendingBrand-name industry speakers pack a four-day meeting filled with 130 keynotes and workshops.