Results for "ameriprise financial"

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Top independent broker-dealers ranked by revenue

April 21, 2018

Firm 2017 % revenue ($M) % change vs. 2016 2017 commission revenue ($M) % change vs. 2016 2017 fee revenue ($M) % change vs. 2016 2017 other revenue ($M) % change vs. 2016 1 LPL Financial $4,281.50 5.70% $1,670.80 -3.80% $1,409.20 9.30% $1,201.40...

J.P. Morgan, ex-broker move dispute over clients from court to Finra arbitration

April 13, 2018

J.P. Morgan Securities and a former broker the firm sued for soliciting his old clients have agreed to move their dispute to an arbitration panel at the Financial Industry Regulatory Authority Inc. On Tuesday, J.P. Morgan Securities filed a...

J.P. Morgan Securities seeks temporary restraining order against ex-broker in Illinois

April 11, 2018

J.P. Morgan Securities filed a complaint and request for a temporary restraining order on Tuesday, seeking to stop one of the firm's former brokers from doing business with the firm's clients. Ryan C. May resigned from J.P. Morgan in Illinois...

Woodbury latest firm to expand by adding bank brokers

April 10, 2018

Yet another broker-dealer is taking a stab at working with bank brokers, as Woodbury Financial Services on Tuesday said it had acquired $10 billion in brokerage and advisory assets from Capital One Financial Corp. The deal, terms of which were...

Edward Jones loses $185 million team to Ameriprise

April 4, 2018

A two-person team that managed $185 million in assets at Edward Jones in Meridian, Idaho, has joined the franchise channel of Ameriprise Financial Inc. Paul Orlando and Derek Busby will operate under the name of Granite Financial Management,...

Social media all-stars of the financial advice community

March 24, 2018

President Donald J. Trump isn't the only one using tweets to rock the world these days. These advisers and other professionals who are influential in the financial planning domain are blogging, posting and tweeting their way to the heights of...

Ex-Morgan Stanley, UBS advisers prevail in TRO claims

March 2, 2018

Some financial advisers at Morgan Stanley and UBS Financial Services may be scared stiff of being sued if they leave their firms to move to another broker-dealer. That's because both wirehouses decided toward the end of last year to exit an...

Broker protocol: Indecision over recruiting agreement is rampant

February 24, 2018

When Morgan Stanley exited an industry agreement late last year that makes it easier for brokers and advisers to move to new firms, it upended 14 years of peace among the largest brokerages. Thousands of retail brokers and wealth management...

2017 largest variable annuity providers

February 17, 2018

VA sales have trended downward for five years, and the third quarter brought more bad news: the 
product line saw the lowest sales in 20 years. However, experts think interest may slowly pick up as advisers and insurers get more comfortable...

In deregulated environment, Ameriprise may be moving back into retail banking

February 16, 2018

Ameriprise Financial Inc. is exploring the idea of getting back into the banking business, which could boost the firm's profitability. The brokerage and insurance giant had its own bank prior to the credit crisis but wound down that operation...

USAA, Edward Jones, Ameriprise ranked most understandable by clients

February 13, 2018

Investors don't just want low prices, they want financial services they can understand. A new study by Hearts & Wallets, which asked more than 5,000 households to rate their top two financial providers on service and pricing, found a firm that...

Preaching calm, veteran advisers prepped clients for market drop

February 6, 2018

Veteran financial advisers have been talking to clients for months about when — not if — a correction in the stock market would hit. Their message after Monday's historic 1,175 point drop in the Dow: Stay calm. "First, don't panic; second,...

Eight brokerage firms urge CFP Board to delay new fiduciary standards

February 5, 2018

Eight major brokerage firms are calling on the Certified Financial Planner Board of Standards Inc. to halt its effort to raise the investment-advice requirement attached to the designation until the Securities and Exchange Commission proposes...

DOL fiduciary rule responsible for drop in Stifel adviser headcount: CEO

January 30, 2018

Stifel Financial Corp.'s net loss in financial advisers last year was largely attributable to the Department of Labor fiduciary rule, which caused the firm's advisers to retire in greater-than-usual numbers, a company executive said Tuesday....

Independent broker-dealers are stepping up their game on recruiting from the wirehouses

January 27, 2018

For years, many wirehouse brokers wouldn't consider moving to an independent broker-dealer — and for good reason. The technology at IBDs wasn't on par with the wires. They had no public branding to bring clients in the door. And perhaps above...

Raymond James and Ameriprise saw strong recruiting in 2017, vow to stay in broker protocol

January 25, 2018

Coming off strong recruiting years, Raymond James Financial Inc. and Ameriprise Financial Inc. said Thursday they intend to stay in the protocol for broker recruiting. Raymond James had 7,537 advisers under its roof at the end of December, an...

Finra arbitrators award $878,712 to broker wrongfully terminated by Ameriprise

January 24, 2018

Finra arbitrators awarded $878,712 to a broker who they found was wrongfully fired by Ameriprise Financial Services Inc., but the victor will continue to serve a Finra suspension over a related investigation until April. The Financial Industry...

Ameriprise team managing $197 million joins Stifel

January 17, 2018

Tom Hankins and Jay Lauzon, who managed $197 million in assets at Ameriprise Financial Services in Flint, Mich., have joined Stifel Nicolaus & Company. Mr. Hankins began his securities career in 1997 at First Chicago and moved to Financial Network...

Oops! Unintended consequences of tax-law changes

January 13, 2018

The Republican tax bill, signed into law on Dec. 22, has a few unintended consequences for financial advisers. Despite the steady shift from commissions to fee-based accounts, the former could now be slightly more attractive to clients. That's...

Finra bars fired Ameriprise rep for churning accounts of elderly

January 8, 2018

The Financial Industry Regulatory Authority has barred former broker Larry M. Boggs for excessive and unsuitable trading in the accounts of five elderly clients. Mr. Boggs also improperly exercised discretion in these accounts without written...

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