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Team with $800M in assets leaves Wells Fargo FiNet for Raymond James

December 14, 2017

A four-adviser team in Sanford, N.C., managing $800 million has switched affiliations from Wells Fargo FiNet to the independent channel of Raymond James. Operating as the Normann Financial Group (NFG), the eight-person team held about $750 million...

Wells Fargo adviser jumps to Kingsview

December 5, 2017

Peter Hiltz, who managed $160 million in assets at Wells Fargo Advisors in Cincinnati, has joined Kingsview Asset Management and will open the firm's first office there. Kingsview is a registered investment adviser headquartered in Grants Pass,...

Finra bars two former Wells Fargo reps over unsuitable energy securities

December 11, 2017

The Financial Industry Regulatory Authority has barred former Wells Fargo reps Charles Frieda and Charles Lynch for recommending an over-concentration in energy-sector securities, some of which were speculative, resulting in significant customer...

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...

Wells Fargo team managing $1B in Anchorage, Alaska moves to Baird

November 30, 2017

Three veteran advisers — Margaret R. Price, Sarah K. Springer and Grant F. Shearer — who managed $1 billion in assets at Wells Fargo Advisors in Anchorage, Alaska, have joined Baird. After starting her career at Foster & Marshall in 1983...

Wells Fargo team jumps to Raymond James

November 27, 2017

A three-adviser team formerly with Wells Fargo Advisors in Brentwood, Tenn., has formed the Williams Hunter Wealth Group and affiliated with the independent unit of Raymond James, according to a press release. The registered representatives...

Wells Fargo 2018 pay grid changes deferred comp

December 1, 2017

Wells Fargo Advisor's 2018 compensation plan keeps intact its current payout rates, but tweaks its deferred compensation awards and adds a layer to deferred compensation for advisers who do business with a higher percentage of households with...

An alternative take on alternatives

July 1, 2013

Not just adding a slice but rethinking the whole pie, a new white paper from Wells Fargo Funds Management.

Wells Fargo sued, again, for using in-house funds in 401(k) plan

November 21, 2017

Just as Wells Fargo & Co. escaped from the jaws of one 401(k) lawsuit over in-house funds, it's now ensnared in another. In a rare move, a federal judge dismissed a lawsuit against the company in May alleging breach of fiduciary duty for self-dealing,...

Independence simplified

October 16, 2015

Wells Fargo Advisors Financial Network (FiNet) simplifies independence for successful Financial Advisors through partnerships in order to help create an extraordinary business, life, and legacy.

SEC fines Wells Fargo Advisors $3.5 million

November 13, 2017

Without admitting or denying the SEC's findings about its failure to submit timely reports of suspicious money movements, Wells Fargo Advisors has consented to a cease-and-desist order, a censure, and a civil penalty of $3.5 million. The firm...

Wells Fargo sees big TDF outflows from mutual funds

November 20, 2017

Target-date funds are on track for a near-record year, but Wells Fargo & Co. doesn't seem to be participating in the boom. TDFs have catapulted to popularity over the past decade as 401(k) plan sponsors' preferred default investment, and flows...

Wells Fargo launches hybrid robo-adviser

November 6, 2017

Wells Fargo officially got into the digital advice market on Monday with the launch of Intuitive Investor, the bank's new hybrid robo-adviser. The offering combines digital access to a portfolio of ETFs designed by the Wells Fargo Investment...

Wells Fargo loses $265 million adviser to Raymond James

November 7, 2017

Mark Lazar, an adviser who managed $265 million in assets at Wells Fargo Advisors, has joined the employee unit of Raymond James in Cottonwood Heights, a suburb of Salt Lake City, Utah. Mr. Lazar, who is being joined by two associates, began...

Wells Fargo requires advisers to use level fees for new 401(k) business

November 14, 2017

Wells Fargo Advisors is requiring that financial advisers servicing 401(k) plans do so in a level-fee arrangement for new business, as have other large brokerage firms, in response to the Department of Labor's fiduciary rule. "We have moved...

Six-rep team managing $369 million at Wells Fargo joins Ameriprise

October 23, 2017

A six-broker group led by David Neihart and managing $369 million in assets has moved from Wells Fargo to Ameriprise. The team, which is based in Kansas City, Kan., was with the employee channel of Wells Fargo and shifted to the Ameriprise employee...

Morgan Stanley loses two reps to Wells Fargo

October 12, 2017

Two brokers at separate California offices have left Morgan Stanley for Wells Fargo. Bernard Suissa managed $192.8 million for Morgan Stanley in Beverly Hills and Michael Muehl managed $180 million in assets at the firm's office in Rancho Bernardo....

Morgan Stanley, Wells Fargo lose reps to Baird

September 18, 2017

Two registered reps — one who managed $175 million at Morgan Stanley, and the other who managed $150 million at Wells Fargo — have joined Robert W. Baird & Co. (More: See all the latest moves in the InvestmentNews Advisers on the Move database)...

In a turnaround, Wells Fargo Advisors sees slight bump in headcount

October 13, 2017

Wells Fargo Advisors has staunched the hemorrhaging of financial advisers — for now, at least — that has plagued it since last year when its parent, Wells Fargo & Co., revealed a widespread banking scandal that affected its retail customers....

Judge dismisses lawsuit by Wells Fargo 401(k) participants

September 26, 2017

A U.S. District Court judge in Minneapolis dismissed a lawsuit by participants in Wells Fargo's 401(k) plan, saying the plaintiffs failed to demonstrate that plan executives breached their fiduciary duties under the Employee Retirement Income...

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