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.
Merrill, Raymond James to Return $12M in Excess 529 Plan Fees
By Janet LevauxThese matters concern issues that pre-date FINRA's 529 Plan Share Class Initiative, announced earlier this year.
October 31, 2019
$1.4B UBS Team Breaks Away With FidelityThe group is based in Bellevue, Washington, and spent more than a decade with the wirehouse.
October 31, 2019
Becoming an RIA, With Help From Wells FargoSarah Berry tells ThinkAdvisor about being one of the first Wells Fargo advisors to join the wirehouse's new RIA channel.
October 31, 2019
Commonwealth Nabs $1B Team From Securian: Recruiting RoundupMeanwhile, Stifel Financial and Raymond James add more wirehouse teams, while LPL nabs indie groups.
October 28, 2019
UBS to Pay Ex-Broker $1.5M for Gender DiscriminationThe suit claims that her branch manager repeatedly referred to her with a curse word.
October 28, 2019
Merrill Adds 40 Non-BofA Model PortfoliosThe products, from BlackRock, JPMorgan, Franklin Templeton and Natixis, include passive and active funds.
October 28, 2019
Annuities: Love 'em or Hate 'em, Here's What Advisors Should KnowRetirement experts Michael Finke, David Lau, Wade Pfau and David Blanchett weigh in.
October 25, 2019
Wells Fargo Welcomes Next-Gen Black Advisors to the Family BusinessFour young African American advisors tell ThinkAdvisor about joining their parents' firms and how Wells Fargo is paving the way for more young minority talent.