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Another top executive exits from SWS

October 14, 2010

Investment and financial services company SWS Group Inc. said Wednesday that Kenneth R. Hanks resigned as its chief financial officer and treasurer after eight years on the job. Stacy M. Hodges, chief financial officer since 1997 of Southwest...

JPMorgan adds 300 financial advisers

October 13, 2010

JPMorgan Chase & Co. had a big third quarter, with profits spiking by 23% -- but it also appears to have had a successful quarter, and year, recruiting financial advisers. At the end of the third quarter, the New York-based bank had 2,209 financial...

Ex-UBS manager lures retirement planning team to Houston startup

October 12, 2010

A startup hybrid firm in Houston has scored a coup by landing a team from UBS Financial Services Inc. that brought in $4.5 million in revenue. The four-broker team, Matt West, Doug Hall, Christian Bauman and Scott Selzer, joined U.S. Capital...

Securities America lands $225M firm

October 1, 2010

Securities America Inc. has picked up Verus Capital Partners LLC, a Scottsdale, Ariz., firm with $225 million in assets and 20 advisers. “I found that I liked the size of Securities America, and they seemed a better fit for where I see my...

Benjamin F. Edwards ices deal with ex-NHL star

September 27, 2010

Benjamin F. Edwards & Co. has hired former hockey star Blake Dunlop to run its newly opened St. Louis branch. The firm also said it's moving its St. Louis headquarters to the larger facility that also houses Mr. Dunlop's branch. The firm was...

Ivy League football 'mafia' gives Wall Street a talent pipeline

September 22, 2010

University of Pennsylvania defensive back Josh Powers may have a better opportunity than playing for college football's national championship: a six- figure Wall Street salary upon graduation. Powers, a senior at the Philadelphia-based school,...

Cold calling brokers are still hurting the entire industry's reputation

September 8, 2010

Cold calling, as a method for bringing in new accounts, appears to be live and well. I'm sure that some Advisors can do it well. However, based on my own personal experience over the last month (yes, a small sample of data, but illustrative...

$3.2M Smith Barney team bolts Morgan Stanley for J.P. Morgan

September 3, 2010

Morgan Stanley Smith Barney LLC has lost a $3 million producing team of veteran Smith Barney brokers to rival J.P. Morgan Securities LLC. The team, known as the Landmark Group, is based in the White Plains, N.Y., office of J.P. Morgan Securities....

UBS hires Morgan Stanley Smith Barney alternatives specialist

August 31, 2010

Jerry Pascucci, the chief investment officer for alternative investments at Morgan Stanley Smith Barney, is joining the U.S. wealth management unit of UBS AG to run alternatives for high-net-worth clients. “In our current economic environment,...

Baird snags nine MSSB reps overseeing $1.3B

August 24, 2010

Robert W. Baird & Co. Inc. said today it has hired nine advisers from Morgan Stanley Smith Barney LLC who collectively oversee nearly $1.3 billion in client assets. The advisers now operate from new Baird branches in Fort Worth, Texas, and Charleston,...

Cetera hires Schwab exec as new national sales head

August 19, 2010

Mark Palmer, a Charles Schwab & Co. Inc. executive, today was named national sales manager at Cetera Financial Group, the broker-dealer network owned by private-equity firm Lightyear Capital LLC. The position is new. Mr. Palmer will oversee...

Dallas broker's CEO resigns, pursuing 'other interests'

August 19, 2010

SWS Group Inc., the parent company of Dallas-based independent broker-dealer SWS Financial Services, said Thursday that its chief executive has resigned to pursue other interests. Donald W. Hultgren, 53, resigned Wednesday as president, CEO...

U.S. Trust lures three advisers from Barclays Wealth

August 18, 2010

U.S. Trust, the wealth management unit of Bank of America Corp., said this week it has hired three advisers from rival firm Barclays Wealth. The firm named both Ray Schuville and George Jenckes private client advisers and Josh Glazer private...

Wilmington Trust nabs new head of credit-risk unit

August 17, 2010

Robert P. Gehring, a 39-year veteran of the commercial banking industry, has taken over as head of the credit risk unit at Wilmington Trust Corp. Company spokesman William Benintende said Mr. Gehring took over his new position six weeks ago....

Ex-Wells Fargo broker opens indie shop in his branch's shadow

July 30, 2010

Jeffrey Sica spent more than four years plotting his move from Wells Fargo Advisors LLC to independence but stumbled a day before he planned to give notice. While arranging furniture in the office of Sica Wealth Management LLC that he was about...

TD Ameritrade recruiting breakaway brokers at a rapid clip

July 21, 2010

TD Ameritrade Institutional reported today that it has attracted more breakaway advisers to the firm during the first nine months of its current fiscal year than it did in all of fiscal 2009. Over the nine-month period ended in June, 212 such...

GenSpring adds family investment officer

June 29, 2010

GenSpring Family Offices LLC said today that it has hired Puneet S. Sahi as a family investment officer for its Costa Mesa, Calif., office. In this job, Mr Sahi will work on investment policy, asset allocation, investment manager selection and...

Big recruiting deals in AdviserLand: What's going on?

June 9, 2010

Monday's Wall Street Journal had an article about B of A/Merrill Lynch increasing their deals for recruits at the high end for 150%, up from 120%. At the same time, Morgan Stanley Smith Barney reportedly is offering big deals for third and fourth...

Regional brokers boost head count by 2%

June 8, 2010

Regional broker-dealers are the only companies in the financial services industry that have added advisers in the past year, according to a study by Financial Research Corp. From March 31, 2009, through March 31 of this year, the number of advisers...

Another MSSB complex manager exits

May 18, 2010

Morgan Stanley Smith Barney LLC has lost another top manager in New York. This morning, Michael Simonds, senior vice president and complex manager for the One New York Plaza branch, resigned. Industry sources said Mr. Simonds was moving to Bank...

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