Results for "recruiting"

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LPL recruiters jump to Ameriprise bank broker

August 17, 2018

Ameriprise Financial Inc. is bolstering its presence in the bank broker market, this week snagging two recruiters from rival LPL Financial. The two, Justin Quillen and Iain Balfour, moved their securities registration to Investment Professionals...

Morgan Stanley CEO is happy that brokers are staying put

July 18, 2018

James Gorman, CEO of Morgan Stanley, loves life at his firm eight months after it dumped an industry agreement called the protocol for broker recruiting, which makes it easier for advisers to leave to join another broker-dealer. For decades,...

As adviser headcount rises at Raymond James, so does the cost of recruiting

July 26, 2018

Raymond James Financial Inc. continues to enjoy strong recruiting of financial advisers across its channels, reporting a 6% increase year-over-year — a net gain of 434 advisers, according to its quarterly earnings release. At the end of June,...

Cetera brokers may go elsewhere with no stay bonuses on horizon

July 20, 2018

Will they stay or will they go? That's the question facing Cetera Financial Group's 8,000 brokers and advisers now that they know the company has no intention of offering them retention bonuses to stay on with new owner Genstar Capital. That...

No 'stay bonuses' for Cetera Financial Group reps

July 19, 2018

Cetera Financial Group has no plans to give extra pay to its 8,000 brokers and financial adviser in the form of "stay bonuses" after the company said on Tuesday it had sold a majority stake to Genstar Capital, a private equity firm. Stay bonuses...

Stifel, UBS lose advisers to Wells Fargo's independent unit

June 1, 2017

Two registered representatives each managing more than $100 million in client assets have left their firms and affiliated with Wells Fargo Advisors Financial Network, the bank's independent contractor unit. (More: Wells Fargo's move to boost...

Ex-Waddell & Reed manager finds success recruiting advisers from old firm

June 11, 2018

A former Waddell & Reed branch manager who left a few years ago to launch a hybrid firm has successfully been recruiting financial advisers from his old company as it continues to grapple with turnover in senior management, a shrinking number...

LPL loses broker-dealer business of $915 million hybrid to Private Client Services

June 4, 2018

RFG Advisory, a hybrid firm based in Birmingham, Ala., whose RIA arm manages $915 million, has switched its broker-dealer affiliation from LPL Financial to Private Client Services. According to its website, the hybrid has $817 million in brokerage...

Recruiting isn't the finish line; it's the starting point

January 22, 2015

Our industry is all about encouraging clients to commit to diversified, long-range investment plans and strategies. Ironically, we tend to lose site of the importance of investing organically and wisely in the future when it comes to recruiting....

Top 10 adviser moves

July 10, 2014

Despite the strong market performance that kept most advisers in place in the second quarter, these firms managed to score the teams with the most assets, according to InvestmentNews’ Advisers on the Move database.

Industry aims to 'change the narrative' in bid for NextGen advisers

August 2, 2012

NextGen: It's the advisory industry issue that is on everyone's top 10 list, but it just seems to keep falling down to number 11. Except for these firms. A group of executives and officials representing nearly a dozen firms in the industry gathered...

Next Gen: Getting a foot in the door

February 14, 2012

Friday's webcast on finding the right fit in an advisory firm covered a lot of ground and we hope you found it to be useful. The archive is available if you would like to listen to the event again, or send it along to a friend, class mate or...

LGBTQ advisers and clients would welcome this approach

June 28, 2018

Even for firms that have embraced the value of increasing diversity, making the workplace LGBTQ-friendly has an added challenge of visibility. Unlike gender and race, sexual orientation isn't as visibly obvious and probably wouldn't come up...

Fired $1.3B Merrill broker finds new home at RBC

April 10, 2015

Bank of America Merrill Lynch's former top broker in Indiana, who was abruptly fired March 4 after an investigation by the firm, has found a new home. Thomas Buck, who had previously managed some $1.3 billion in assets, has joined RBC Wealth...

Advice business lags behind comparable careers in hiring women

April 16, 2014

Women make up about a quarter of the nation's financial advisers, a pretty skimpy figure considering it is a well-paying career that doesn't require a tremendous educational commitment and offers great work-life balance, at least after the first...

Two Morgan Stanley brokers sue their old firm as they walk out the door

May 21, 2018

Two brokers who left Morgan Stanley on Friday to work at another brokerage firm took the unusual step of filing a lawsuit against their former employer in an attempt to prevent the wirehouse from suing them over their clients. The two registered...

Advisers on the Move: One firm dominated the third quarter

October 6, 2011

In the last three months, the InvestmentNews Advisers on the Move database has tracked more than 60 teams of advisers that have changed firms - but a clear handful stand out from the pack. The ten largest moves (as determined by their assets...

Michael Murray only latest to leave LPL's recruiting staff

May 14, 2018

An industry powerhouse when it comes to recruiting, LPL Financial has recently seen several senior and mid-level recruiters jump ship or retire. The most conspicuous departure was disclosed last week, when Cetera Financial Group said it hired...

Morgan Stanley is waving the white flag on recruiting

October 31, 2017

Morgan Stanley announced on Monday that it is leaving the Protocol for Broker Recruiting. This should not surprise anybody who has been paying attention for the last year. Almost exactly a year ago, Morgan Stanley cut its recruiting deals in...

Raymond James, on a recruiting roll, looks for an acquisition in the West

April 26, 2018

Raymond James Financial Inc. added 67 more brokers and advisers in the first quarter, pushing its total adviser workforce to 7,604 — a 5.3% increase from a year ago. "The private client group has done very, very well and continues on its steady...

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