Results for "ameriprise financial"

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Former Ameriprise broker accused of unethical conduct barred by Finra

September 13, 2018

The Financial Industry Regulatory Authority Inc. has barred a former Ameriprise Financial broker after he failed to cooperate with an investigation into allegations of unethical conduct while at his firm. Jeffery Joseph Kelly, who starting working...

Ken Fisher, famous annuity hater, invested in annuity companies

August 31, 2018

Ken Fisher, founder and executive chairman of Fisher Investments, has been an ardent critic of annuities for years. In fact, Mr. Fisher's vitriol toward annuities is probably one of his most identifiable characteristics in the public sphere....

Ameriprise scoops up $140M family team from Wells Fargo

August 30, 2018

Ameriprise Financial Inc. has scooped up a $140 million family team from Wells Fargo. Peter De Arcangelis worked for nine years at Wells Fargo Clearing Services in Charlotte, NC, according to Finra BrokerCheck. At Ameriprise, he's working as...

What's in a name? For TCA by ETrade, everything

August 18, 2018

Has Trust Company of America hitched its wagon to a star or turned its back on loyal clients? It depends on whom you ask. Either way, the $275 million acquisition in April of TCA by discount broker ETrade has the custodian world buzzing. In...

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...

As Ameriprise case shows, firms on hook when brokers go bad ​

August 16, 2018

Brokers forging client signatures and creating phony wire transfers were at the heart of the frauds revealed Wednesday when the Securities and Exchange Commission said that Ameriprise Financial Services will pay $4.5 million to settle charges...

Ameriprise to pay $4.5 million to settle SEC charges that five reps stole more than $1 million from clients

August 15, 2018

The Securities and Exchange Commission said that Ameriprise Financial Services will pay $4.5 million to settle charges that it failed to safeguard retail investor assets from theft by its representatives. According to the SEC's order, five Ameriprise...

Wells Fargo loses $161 million team to Ameriprise

August 14, 2018

A two-person team managing $161 million at Wells Fargo in Temecula, Calif., have joined the employee unit of Ameriprise Financial. John Burg and Tamara Colon, and their associate Amy Irvine, will operate as The Burg Group. Mr. Burg began his...

Wells Fargo team managing $170 million moves to Stifel

August 10, 2018

A team managing $170 million in assets at Wells Fargo Advisors has joined Stifel Nicolaus. Mark Graham will open an office for the firm in Spokane, Wash., and his partner, Brian Bissell, will work from Pasadena, Calif. Mr. Graham began his securities...

Ameriprise to switch CRM for nearly 10,000 advisers in 2019

July 25, 2018

Ameriprise Financial Inc. will switch up a key piece of technology for its 9,906 brokers and financial advisers next year when it changes its customer relationship management system to industry leading Salesforce.com Inc. One Ameriprise adviser,...

Finalists announced for 12th annual Invest in Others Awards

July 16, 2018

Fifteen advisers and six companies have been named as finalists for the 12th annual Invest in Others Awards. The Invest in Others Charitable Foundation honors financial advisers and firms that have demonstrated commitment to their communities...

Edward Jones, Commonwealth Financial top J.D. Power list of top brokerage employers

June 28, 2018

When it comes to workplace satisfaction among broker-dealers, some firms stand out from the pack. According to the latest research from J.D. Power, Commonwealth Financial, Raymond James Financial and Cambridge Investment Research fill the top...

Advisers with billions in AUM leaving Wall Street

June 13, 2018

The biggest firms continue to lose groups of financial advisers that have billions of dollars worth of assets under management. These advisers are moving because they want to set up their own shops so they can own a business or to work at smaller...

Former Ameriprise rep barred for unauthorized trades

May 29, 2018

The Financial Industry Regulatory Authority Inc. has barred former Ameriprise Financial representative Maria Tamburro for executing approximately 30 unauthorized mutual fund purchases for six customers and for failing to provide information...

Ameriprise team managing $282 million moves to Commonwealth

May 22, 2018

Endeavor Wealth Advisory Group, of Rochester, N.Y.., which manages $282 million in assets, has changed its affiliation from Ameriprise Financial Services to Commonwealth Financial Network. Endeavor's four advisers are John Moose, David Zambito,...

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...

Quantum growth via acquisition

May 8, 2018

With the stock market on the upswing and the regulatory environment continuing to show signs of easing, many advisors are starting 2018 from a strong foundation. For growth-focused advisors, now may be the time to make a strategic move that...

An arbitration with a twist: Both sides lose

April 25, 2018

In an unusual decision, a Finra arbitration panel has ordered Ameriprise Financial and William Barker, a former broker, to pay each other compensatory damages. The case stems from Mr. Barker's alleged failure to repay a promissory note due Ameriprise...

Ameriprise CEO James Cracchiolo welcomes new SEC advice rule

April 24, 2018

Ameriprise Financial Inc. CEO James Cracchiolo on Tuesday welcomed the Securities and Exchange Commission's new investment advice rule. During a conference call with analysts, Mr. Cracchiolo was asked his reaction to the SEC's announcement last...

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...

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