Results for "edward jones"

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The rise of the female financial adviser

August 8, 2018

Our industry has long lamented the small percentage of female advisers. Indeed, the data show that only around 17% of all advisers are women. But has the time (finally!) come for the rise of the female financial adviser? The Tipping Point We...

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...

JPMorgan asks court for injunction against rep who left for Merrill Lynch

June 19, 2018

J.P. Morgan Securities has asked a federal court in Indiana to grant a temporary and preliminary injunction restraining one of its former brokers, Gabriel Campbell, from soliciting former clients to join him at his new employer, Merrill Lynch....

BlackRock expands risk analytics tool to wealth managers overseeing billions in assets

June 12, 2018

Almost three decades ago, BlackRock Inc. created software to obsessively monitor the then-fledgling firm's financial risks. Now, after turning it into an essential tool on Wall Street, the firm is zeroing in on another kind of client: financial...

Melanie Housden: My nightmare exit from Edward Jones

June 12, 2018

Leaving one firm and heading to another can be a delicate, and sometimes harrowing, situation. When Melanie Housden left Edward Jones it turned litigious and got worse from there. Check out her story.

Ex-Edward Jones broker sues former firm, alleging racial bias

May 25, 2018

A former Edward D. Jones broker sued the firm Thursday, claiming widespread, intentional racial discrimination in the firm's policies and practices. The ex-broker, Wayne Bland, is African-American and worked at Jones from 2014 to 2016. The lawsuit,...

UBS latest to make push for young, diverse advisers

May 22, 2018

Correction: An earlier version of this story incorrectly stated that 20 young advisers had completed UBS' general adviser training program. That is the number that have started the program.​ UBS Wealth Management Americas is the latest firm...

With female managing partner in the wings, Edward Jones emphasizes diversity

May 10, 2018

At a time when the financial advice industry is desperately attempting to become younger and more diverse, Edward Jones' move earlier this week to tap a woman as its next managing partner will only make the firm more attractive to potential...

Growth in BlackRock ETFs likely to slow

April 12, 2018

Even as BlackRock Inc.'s assets advanced to $6.3 trillion and its growth appears unstoppable, there are signs the firm isn't invincible. Net flows for its global iShares exchange-traded funds declined 46% in the first quarter, to $34.6 billion...

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,...

DOL fiduciary rule sparks charges of reverse-churning

April 4, 2018

As more broker-dealers move clients from commission-based accounts to those that charge annual fees — in some cases as a way to insure they are complying with the Department of Labor's fiduciary rule — they may be in danger of exposing themselves...

Finra bars no-show broker discharged for unauthorized trading

March 26, 2018

The Financial Industry Regulatory Authority Inc. has barred Sanders Spangler, a former LPL broker, for not appearing at a Finra hearing looking into his trading activity on behalf of clients. In February 2017, LPL discharged Mr. Spangler after...

Trump true believers are going wild over stocks

March 6, 2018

As 2017's roaring bull market gives way to a markedly choppier 2018, the buzz among Wall Street stock touts is that the best of the Trump Trade has passed. Sure, more gains could be wrung out, and probably will be, but nothing like the 30% burst...

AI, social media have an important place in the advice world

February 23, 2018

Technology is fundamentally shifting societal norms, expectations and behaviors, and advisers must adjust to them if they want to survive. Just consider what we used to tell children about getting into cars with strangers, said Sunayna Tuteja,...

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...

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...

UBS adviser managing $200 million moves to Alex. Brown

February 2, 2018

Andrew Hutcheson, who managed $200 million at UBS in Los Angeles, has joined the Alex. Brown unit of Raymond James. Mr. Hutcheson began his securities career at Edward Jones in 2005 and joined UBS in 2011. (More: Raymond James and Ameriprise...

Finra elder-abuse rule could trigger delicate conversations between brokers, clients

January 26, 2018

A new Finra regulation designed to prevent financial exploitation of seniors will spur what could be delicate conversations between brokers and older clients. The rule, which goes into effect on Feb. 5, requires that brokers make a reasonable...

Finra suspends, fines broker for posting fake sex ads

January 24, 2018

The Financial Industry Regulatory Authority Inc. is suspending and fining Paul Betenbaugh, a former registered representative with Edward Jones, for impersonating a competing adviser and using that adviser's information to create explicit internet...

Finra, investigating misuse of funds, bars former Edward Jones rep

January 17, 2018

The Financial Industry Regulatory Authority Inc. has barred Matthew Kerby, a former Edward Jones broker, for failing to take part in a hearing looking into allegations that he misused client funds. Mr. Kerby was employed by Edward Jones in Paoli,...

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