Results for "ameriprise financial"

Displaying 659 results

Sort: Date | Relevance

Author:

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...

New tax law favors charitable giving from IRAs

January 3, 2018

InvestmentNews has asked readers to submit their tax questions. Here are three new submissions. If you would like your tax questions answered, please write to assistant managing editor Chris Latham at clatham@investmentnews.com and reporter...

Your tax bill questions answered

December 27, 2017

InvestmentNews has asked readers to submit their tax questions. Here are the first three of them. If you would like your tax questions answered, please write to assistant managing editor Chris Latham at clatham@investmentnews.com. QUESTION:...

After a superb 2017, brokerage stocks should continue to roll next year

December 22, 2017

With the broad market rising throughout 2017, stocks of brokerage firms shined. The iShares U.S. broker-dealers and securities exchanges ETF posted an increase of 26% for the year through trading Friday morning, while the S&P 500 index was up...

Broker managing $141 million at Stifel joins Ameriprise

December 18, 2017

Mark McGrath, who managed $141 million in assets at Stifel, Nicolaus & Co., has joined the employee channel of Ameriprise Financial in Timonium, Md. Mr. McGrath's started his securities career in 1992 at Morgan Stanley. He moved to Ryan Beck...

Buybacks, CEO pay add up to big costs for shareholders

December 13, 2017

David Winters, manager of the Wintergreen Fund, says that buyback programs and CEO compensation are adding an enormous drag to investor returns, and that index funds are making the problem worse. Before you dismiss Mr. Winters as yet another...

SEC orders Ameriprise and other firms to pay $9 million for F-Squared sales

December 8, 2017

In a crackdown on firms that sold F-Squared AlphaSector strategies, the Securities and Exchange Commission has censured Ameriprise Financial and ordered it to pay $1.75 million in penalties as well as to disgorge $6.3 million. The SEC also censured...

Wells Fargo adviser managing $219 million joins Ameriprise

December 4, 2017

Michael Huffman, who managed $219 million in assets in the Mesa, Ariz., office of Wells Fargo Advisors, has joined the employee channel of Ameriprise Financial. Mr. Huffman began his securities career at Kober Financial in 1991 and spent time...

Ameriprise gets $143 million Merrill Lynch team

November 13, 2017

Two brokers who managed $143 million at Merrill Lynch have joined the employee channel at Ameriprise. David Schrader and Frank DeFranco worked at the firm's Saddle Brook, N.J., office. Mr. Schrader joined Merrill Lynch in 2008. He began his...

Can Robert Moore save Cetera?

November 11, 2017

Cetera Financial Group's Halloween office party this year, CEO Robert Moore dressed up as the Cowardly Lion from the "Wizard of Oz." A more appropriate costume might have been Hercules, who famously completed 12 labors as a penance, since many...

How confusing are the fees brokers charge?

November 9, 2017

Financial advisers get itchy when talking about fees they charge clients. They tend to sweat a bit, looking down at the ground like it was littered with hundred dollar bills. In other words, fee chat makes some advisers uncomfortable. It's no...

Ameriprise loses $100 million broker to Raymond James

October 30, 2017

David Katz, who managed $100 million in assets at Ameriprise Financial Services, has joined the employee channel of Raymond James in Boca Raton, Fla. Mr. Katz, who is joining the firm with his client service associate, began his financial services...

Ameriprise attracts 88 advisers in third quarter

October 25, 2017

Eighty-eight advisers joined Ameriprise Financial Inc. from other firms in the third quarter, in addition to 215 who joined the firm as part of the acquisition of Investment Professionals Inc., Ameriprise said in announcing its third-quarter...

Indie team managing $172 million leaves Mid Atlantic Capital

October 25, 2017

Jack Elgin and Neven Zelich, who managed $172 million as independents affiliated with Mid Atlantic Capital Corp., have joined the franchise channel of Ameriprise Financial. The team, based in Canton, Ohio, includes a paraplanner and two assistants....

Finra flags two ex-Ameriprise reps over margin snafus

October 10, 2017

Two brokers formerly registered with Ameriprise Financial Services Inc. were fined and suspended Monday by the Financial Industry Regulatory Authority Inc., in part due to securities industry rule violations involving customer transactions using...

The future of financial advice: Inside the 2017 Financial Planning Challenge

October 6, 2017

Sponsored by the CFP Board, Ameriprise Financial and FPA, students from some of the top financial planning colleges nationally descended on the FPA Annual Conference to compete in the 2017 Financial Planning Challenge. Here's an inside look.

Painful end for advisers who bought RCAP shares

October 5, 2017

For advisers and executives who owned shares of RCAP, the defunct, mammoth brokerage firm formerly controlled by Nicholas Schorsch, a painful financial chapter of their lives ended last month. A federal judge in New York approved the settlement...

Ameriprise wins $179 million adviser team

September 28, 2017

Phil Nguyen, who managed $179 million in assets at Purshe Kaplan Sterling Investments along with Todd Ferreira, has joined the employee channel of Ameriprise Financial. The two, who were joined with their two client service associates, are based...

Next Page »

1 | 2 | 3 | 4 | 5 ... 33

X

Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting investmentnews.com? It'll help us continue to serve you.

Yes, show me how to whitelist investmentnews.com

Ad blocker detected. Please whitelist us or give premium a try.