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INsider: Suddenly, UBS and McCann have 'mo

December 22, 2011

The movement of a couple— even a handful — of wirehouse adviser teams between firms doesn't necessarily establish a trend. But it's hard not to see yesterday's announcement of the signing of two more large teams by UBS Wealth Management...

Advisers shuffle off in Buffalo as firm closes

December 15, 2011

A small broker-dealer in Buffalo is shutting down next year because its five teams of financial advisers want to find a better fit for their individual businesses. The 13 registered representatives at Harold C. Brown & Co. LLC are splitting...

Raymond James picks up RIAs

December 15, 2011

Raymond James’ custody unit has picked up four new RIA firms with more than $400 million in assets. Last week, Deborah Stauring of Winthrop Financial Inc., which has $160 million in assets, and Michael Pratt of Pratt Collard Advisory Partners...

Longtime RJFS CEO to retire

November 28, 2011

The old guard of Raymond James Financial Inc. will soon see another change with the departure of Dick Averitt, longtime chief executive of Raymond James Financial Services Inc. Mr. Averitt, 66, has been in charge of the independent-broker-dealer...

Senate confirms SEC nominees

October 21, 2011

The Senate confirmed two nominees to the Securities and Exchange Commission on Friday, bringing the agency back to full power. Luis Aguilar, a Democrat, was reappointed to the commission while Daniel Gallagher Jr., a Republican replacing the...

Market volatility represents opportunity to expand advice business: TD's Bradley

October 13, 2011

Since the beginning of July, the S&P 500 has moved 2% or more on 58% of the days that the market has been open. That kind of volatility is creating opportunities for investment advisers to expand their businesses, according to Tom Bradley, president...

Advisers should expect a bleak year: Bove

October 7, 2011

Richard Bove, a banking analyst with Rochedale Securities LLC, is expecting a bleak year for investment banks and brokerages, and suggests that financial advisers can expect less support from their parent firms and will see fewer opportunities...

This adviser is in hiring mode

October 7, 2011

Small-business hiring stalled in September as owners await signs of an improving economy, but the picture is brighter for independent investment advisers, a large RIA firm argued. “We have seen a pickup in business,” said Terry Siman, managing...

Return to sender: U.S. to benefit from China wage growth

October 7, 2011

Rising labor costs in China will prompt American factories to move production back to the U.S., creating up to 3.2 million jobs by 2020, the Boston Consulting Group said. A so-called reshoring of manufacturing activity that was lost to China...

So long, Sallie: BofA gives Krawcheck $6M golden handshake

October 7, 2011

Bank of America Corp., the lender seeking to trim expenses by eliminating at least 30,000 jobs, will pay former wealth-management division head Sallie L. Krawcheck $6 million after her dismissal last month. That sum includes one year of her...

New fiduciary certification floated by Don Trone

September 20, 2011

Don Trone hopes that registered representatives have enough room on their business cards for yet another three-letter designation, because he thinks they are going to need it. The company he founded and leads, 3ethos, is launching a new fiduciary...

Bank of America to slash 30,000 jobs to cut costs

September 12, 2011

Bank of America Corp. will eliminate 30,000 jobs in the next few years as part of Chief Executive Officer Brian T. Moynihan's plan to bolster profit and the company's stock. The reductions, equal to about 10 percent of the staff, are part of...

Baird lures father-son team from Wells Fargo

September 6, 2011

Robert W. Baird & Co. Inc. continues to add to its adviser ranks. Last week, the investment bank and brokerage firm lured father-son team M. William McCollum Jr. and Travis McCollum from Wells Fargo Advisors LLC to work in its Charlotte, N.C.,...

Compliance pros should be the biggest winners under Dodd-Frank

August 25, 2011

Compensation for financial services compliance experts has been stagnant over the past few years, but that situation should be improving soon, largely thanks to the Dodd-Frank Act, according to a study by National Regulatory Services. The compliance...

HighTower scores $1B adviser

August 18, 2011

HighTower Advisors LLC has landed Margaret Towle, a high-end investment adviser with Greycourt & Co. Inc. doing business in Seattle and Minneapolis, despite market volatility that tends to keep advisers put. Ms. Towle, who manages in excess...

Investors Capital will subsidize FSI memberships for its advisers

August 12, 2011

The Financial Services Institute, the lobbying organization for independent broker-dealers, said Friday that it had picked up the support of advisers this week from sizable independent broker-dealer Investors Capital Corp. On Monday, LPL Financial...

Two top Securities America advisers bolt for rival LPL Financial

August 10, 2011

Two of Securities America Inc.'s top advisers, including the head of its largest financial adviser group, walked out the door this week to join rival LPL Financial LLC. Donald Patrick, president of Integrated Financial Group of Atlanta, joined...

Former A.G. Edwards execs are out at Wells Fargo

August 5, 2011

Several former long-time executives of A.G. Edwards & Sons Inc. are no longer with Wells Fargo Advisors LLC, InvestmentNews has learned. Peter Miller, president of the advisor development group at Wells Fargo & Co., Michael Scafati, a senior...

Jobs to the rescue? Treasury yields rise from lows as economic concern eases

August 5, 2011

Treasuries tumbled, pushing up yields up from the lowest this year, after data showed the U.S. jobs market gained traction in July, easing concern the economic recovery is stalling. U.S. two-year note yields increased from a record low yesterday...

Bank of America Merrill Lynch still on hiring roll

August 2, 2011

Bank of America Merrill Lynch has announced the hiring of six new financial advisers late yesterday, after a pair of private bankers managing more than $1 billion in assets moved their practice to independent registered investment adviser shop...

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