Results for "broker-dealers"

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An adviser's adviser invigorates UBS

May 19, 2013

When Robert Mulholland took the job of leading the U.S. financial adviser force at UBS AG in the fall of 2009, the Swiss bank's wealth management operation was in shambles, losing money, losing assets and losing a lot of advisers. “It was...

Trainees are burning out

May 19, 2013

Alex Freemon was so eager to be a stockbroker after graduating from the Georgia Institute of Technology last year that he said he was happy to go door to door selling mutual funds for Edward Jones. The brokerage flew him to St. Louis, where...

AIternative alterations

May 19, 2013

Amid increasing pressure from regulators, broker-dealers are making changes to how they sell some alternative investments. Berthel Fisher & Co. Financial Services Inc., VSR Financial Services Inc. and Cetera Financial Group Inc., which has four...

Securities America expands in financial institutions market

May 16, 2013

Securities America Inc. has signed agreements with six small financial institutions to have financial advisers offer consumer investment services to bank customers and credit union members. The six institutions, located in five different states,...

B-Ds reining in sales of alternatives

May 16, 2013

Amid increasing pressure from regulators, broker-dealers are making changes to how they sell alternative investments. VSR Financial Services Inc., Berthel Fisher & Co. Financial Services Inc. and the Cetera Financial Group Inc., which has four...

Brokerages 'extincting' themselves with recruiting wars, treatment of new hires

May 14, 2013

Alex Freemon was so eager to be a stockbroker after graduating from the Georgia Institute of Technology last year that he said he was happy to go door to door selling mutual funds for Edward Jones & Co. The brokerage flew him to St. Louis, where...

Finra charges B-D chief with using investor funds for home remodeling

May 14, 2013

The head of a broker-dealer that packages and distributes illiquid equipment-leasing funds is the target of a complaint by securities regulators that alleges persistent misuse of investor money over a three-year period to pay for personal expenses...

J.D. Power: Satisfaction with investment firms up

May 12, 2013

Investor satisfaction with large investment firms continues to inch higher since plummeting in 2009, and the firms with the top scores have clients who are very happy with their financial advisers and investment performance, a new survey has...

Moving from wirehouses pays off

May 12, 2013

Breaking away from the wirehouses has paid off handsomely for financial advisers over the past five years, according to a new study from Fidelity Investments. Advisers who went from a wirehouse to an independent registered investment adviser...

Attracting new blood a challenge

May 12, 2013

With the decline in the ranks of financial advisers showing no signs of abating, large broker-dealers and individual investment advisers are faced with the stark challenge of figuring out how to bring fresh blood into the investment advice business....

Deal to go private knotted for NFP

May 12, 2013

Just as it is preparing to go private with a sale to private-equity buyers, insurance broker and benefits roll-up firm National Financial Partners Corp. faces hurdles created by its independent broker-dealer, NFP Advisor Services Group. First...

Satisfaction with advisers climbing; RBC, Fidelity lead the pack, J.D. Power says

May 9, 2013

Investor satisfaction with large investment firms continues to inch upward since plummeting in 2009, and the firms with the top scores have clients who are very happy with their financial advisers and their investment performance, a new survey...

How investment advice firms rate with customers - 15. AXA Advisors, LLC.

May 9, 2013

Score 707 Industry average 789 Circle rating (out of 5) 2 circles (Scores based on: investment adviser; investment performance; account information; account offerings; commissions and fees; website; and problem resolution. Study based on responses...

Legal fallout, competition dog NFP as it seeks to go private

May 8, 2013

Just as it's preparing to go private with a sale to private-equity buyers, insurance broker and benefits roll-up firm National Financial Partners Corp. is facing hurdles created by its independent broker-dealer, NFP Advisor Services Group. First...

Adviser numbers will continue to slide: Cerulli

May 7, 2013

The decline in the ranks of financial advisers shows no signs of abating, as too few recruits are joining the industry. The number of financial advisers in the United States fell by 1.3% — or approximately 4,000, in 2011, and will decline...

UBS listening to shareholders on wealth management split

May 5, 2013

UBS AG (UBSN) is always looking at all shareholder suggestions, Chief Executive Officer Sergio Ermotti said, a day after investor Knight Vinke Asset Management LLC called for a spinoff of the lender's investment bank. “We're taking the input...

UBS wealth unit reports record profits, inflows

May 5, 2013

UBS AG reported improved first-quarter results for its U.S. retail-wealth-management business, with a record pretax profit of $251 million, as well as a record $9.2 billion in net new money. In an earnings report released last week, UBS said...

Outlook good for wirehouses

May 5, 2013

Influential Sanford Bernstein bank analyst Brad Hintz thinks that the wirehouses are going to be big beneficiaries of a recovery in the retail-wealth-management industry over the next two years. “We think the light at the end of the tunnel...

Training on the back burner

May 5, 2013

THE LOOMING CRISIS in the financial advisory industry has become a familiar refrain: There just aren't enough advisers to meet the growing demand. In 2011, the number of financial advisers in the U.S. fell 2% to 316,000, according to data from...

States urge SEC to chuck Finra's Schwab decision

May 4, 2013

State securities regulators continued to pressure the Securities and Exchange Commission to end mandatory arbitration clauses in brokerage contracts on Friday. In a letter to SEC Chairman Mary Jo White, the North American Securities Administrators...

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