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Morgan Stanley Smith Barney pumps up recruiting packages to lure top producers

November 11, 2009

Morgan Stanley Smith Barney LLC is entering into the recruiting wars with its guns blazing and is creating a potential pay package for new advisers that will match that of its rival Merrill Lynch & Co Inc.’s Global Wealth Management unit....

HighTower nabs a UBS broker team

November 10, 2009

HighTower Securities LLC has added to its wealth management and international advisory teams with the recruitment of two brokers from UBS Financial Services Inc. Christopher Davis and Matthias Kuhlmey joined the firm last Friday. Together, they...

Tad Edwards plays in Peoria

November 9, 2009

Benjamin F. Edwards Co. has opened a new branch office in Peoria, Ill. The new eight-person office includes four brokers and four other staff members, all of whom are legacy A.G. Edwards employees who came over from the Wells Fargo Advisors...

Ameriprise, hot off a hiring frenzy, rebuilds recruiting staff

November 8, 2009

After recruiting some 500 representatives so far this year, Ameriprise Financial Inc. is gutting and rebuilding its recruiting staff as part of an effort to bring in more independent reps. On Oct. 13, Ameriprise showed the door to 13 cold-callers...

Ameriprise, hot off a hiring frenzy, guts recruiting staff

November 2, 2009

After recruiting some 500 reps so far this year, Ameriprise Financial Inc. is gutting and rebuilding its recruiting staff as part of an effort to bring in more independent reps. On Oct. 13, Ameriprise showed the door to 13 cold callers who focused...

Raymond James ups the ante for RIAs, raises asset requirements

October 29, 2009

The investment advisory division of Raymond James Financial Services Inc., which offers custodial services to independent advisers, has raised the minimum level of assets under management for new RIA relationships to $50 million, from $30 million....

RBC lures $450 million duo from U.S. Trust

October 12, 2009

RBC Wealth Management has recruited a pair of financial advisers from US Trust Wealth Management, where they ran some $450 million in client assets. Rhonda Smith and Lynn Syler — both senior vice presidents at U.S. Trust, which is owned by...

Broker movement continues its decline, wirehouse reps staying put

October 8, 2009

The number of financial advisers fleeing large brokerages appears to be slowing, as many wirehouse reps are staying put — for now — or joining another wirehouse. According to data from Discovery, a Shrewsbury, N.J.-based provider of financial...

Q&A with Tad Edwards: Why the legacy will continue

October 7, 2009

Although he quietly launched his own brokerage firm in St. Louis a year ago, Benjamin F. “Tad” Edwards IV — the great-great-grandson of Albert Gallatin Edwards, who founded A.G. Edwards Inc. in the 19th century — is moving right along...

American Express exec bolts for unknown CEO spot

October 5, 2009

American Express Co. said Monday its president, Alfred F. Kelly Jr., will step down early next year. Kelly, 51, wants to run a company as a chief executive, a position that is unlikely to come open anytime soon at American Express as chairman...

The search for Ken Lewis' successor at BofA officially kicks off

October 5, 2009

Bank of America Corp. on Friday created a six-member committee of directors to find a successor for CEO Ken Lewis. The move comes two days after the bank said Lewis plans to retire at the end of the year. The committee is being led by Bank of...

Baird snags Wells Fargo adviser, opens retail office in Denver

October 5, 2009

Karen Ogard, a 26-year industry veteran, last week left Wells Fargo Advisors LLC, where she was in the brokerage's Greenwood Village, Colo., office, and joined Robert W. Baird & Co. Ms. Ogard, a legacy A.G. Edwards & Sons Inc. rep with more...

Baird adviser with $205M heads to RBC, $100M Merrill couple goes indie

October 2, 2009

RBC Wealth Management Mike Dwyer, formerly of Robert W. Baird & Co. Inc., has joined RBC Wealth Management as a senior vice president and financial consultant in the firm's Phoenix office, RBC said today. He will focus on serving high-net-worth...

A.G. Edwards scion branches out, expands into New York

September 28, 2009

Benjamin “Tad” Edwards IV, the great-great-grandson of Albert Gallatin “A.G.” Edwards, took another step toward expanding his own brokerage business with the launch of a branch in White Plains, N.Y. — one that will house a number of...

MSSB duo defects to RBC

September 13, 2009

Two senior financial advisers from Morgan Stanley Smith Barney have left RBC Wealth Management. Vincent D. Crudo and Patrick F. Duff joined RBC's New Haven, Conn., office as senior vice presidents and financial consultants. At Morgan Stanley...

RBC snags $340M duo from Smith Barney

September 9, 2009

RBC Wealth Management has added two senior financial advisers from Smith Barney with $340 million in client assets as the regional brokerage firm continues to recruit brokers a rapid clip. Patrick F. Duff and Vincent D. Crudo joined RBC’s...

SEC's Schapiro issues warning to broker-dealer executives

September 6, 2009

Securities and Exchange Commission Chairman Mary L. Schapiro last week issued an open letter to broker-dealer chief executives, warning them to make sure supervisors are vigilant about conflicts of interests as they recruit registered representatives....

Raids 'blindside' small B-Ds as brokers go for the gold

July 12, 2009

Recent raiding at broker-dealers has sparked ugly and bitter feuds and led to significant damage awards, and financial industry attorneys and experts see more cases in the offing. Last month, a three-member Financial Industry Regulatory Authority...

Brokerage firm recruitment deals are holding steady for top reps

June 14, 2009

Despite the intense scrutiny on executive compensation by legislatures and regulators, major brokerage firms continue to offer generous recruitment packages to top brokers. Overall, industry packages for leading producers are running at 180%...

For indie B-Ds, it isn't all gloom and doom

April 26, 2009

The fantastic growth among independent broker-dealers came skidding to a halt last year, but the results were far from disastrous — with some firms taking advantage of recruiting opportunities despite the revenue declines. According to an InvestmentNews...

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