Results for "recruiting"

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Another veteran recruiter walks away from LPL

September 18, 2018

Another veteran recruiter has walked out the door at LPL Financial, with veteran David Symecko last week moving to Fidelity Clearing and Custody Solutions. LPL has long been considered an industry powerhouse when it comes to recruiting and has...

LPL nabs $300 million firm from Cetera Financial

September 17, 2018

LPL Financial has recruited a $300 million advisory firm from Cetera Financial Group. Multop Financial, based in Bellingham, Wash., was founded in 1976 by Air Force veteran Phillip Multop. Today, the firm includes three financial advisers, three...

Raymond James nabs $203 million team from Morgan Stanley

September 11, 2018

O'Neill Wealth Management, a Mount Laurel, N.J.-based advisory firm with $203 million in client assets, has left Morgan Stanley to join Raymond James & Associates, the firm's employee broker-dealer. The advisory firm is comprised of a team of...

Secrets Behind Success: For RIAs, having the right talent requires diligence and investing in the future

August 21, 2018

Few business challenges are as persistently difficult as trying to bring the right people into an organization to achieve important goals. The talent challenge extends across industries, economic cycles, international boundaries – and eons...

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 adviser headcount rises at Raymond James, so does the cost of recruiting

July 26, 2018

Raymond James Financial Inc. continues to enjoy strong recruiting of financial advisers across its channels, reporting a 6% increase year-over-year — a net gain of 434 advisers, according to its quarterly earnings release. At the end of June,...

Cetera brokers may go elsewhere with no stay bonuses on horizon

July 20, 2018

Will they stay or will they go? That's the question facing Cetera Financial Group's 8,000 brokers and advisers now that they know the company has no intention of offering them retention bonuses to stay on with new owner Genstar Capital. That...

Morgan Stanley CEO is happy that brokers are staying put

July 18, 2018

James Gorman, CEO of Morgan Stanley, loves life at his firm eight months after it dumped an industry agreement called the protocol for broker recruiting, which makes it easier for advisers to leave to join another broker-dealer. For decades,...

State court ruling on broker protocol could greatly affect job seekers

July 3, 2018

Financial advisers counting on an industry pact to switch jobs safely with clients in tow could run into obstacles after a ruling by a Georgia state court last week. The decision, involving advisers who jumped to Morgan Stanley from Aprio Wealth...

LGBTQ advisers and clients would welcome this approach

June 28, 2018

Even for firms that have embraced the value of increasing diversity, making the workplace LGBTQ-friendly has an added challenge of visibility. Unlike gender and race, sexual orientation isn't as visibly obvious and probably wouldn't come up...

Ex-Waddell & Reed manager finds success recruiting advisers from old firm

June 11, 2018

A former Waddell & Reed branch manager who left a few years ago to launch a hybrid firm has successfully been recruiting financial advisers from his old company as it continues to grapple with turnover in senior management, a shrinking number...

After firms dump protocol, advisers show reluctance to make a move

June 5, 2018

Last fall, Morgan Stanley and UBS Wealth Management Americas left an agreement among brokerage firms that allowed brokers and advisers to take a limited amount of client information to a new employer without being sued. Called the Protocol for...

LPL loses broker-dealer business of $915 million hybrid to Private Client Services

June 4, 2018

RFG Advisory, a hybrid firm based in Birmingham, Ala., whose RIA arm manages $915 million, has switched its broker-dealer affiliation from LPL Financial to Private Client Services. According to its website, the hybrid has $817 million in brokerage...

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...

Unlimited vacation time: a nice perk no one expects you'll use

May 21, 2018

Moving into the summer season, the idea of unlimited vacation time might be the ideal recruiting tool for some advisory firms. But when it comes to actually taking that time off, it's often the unwritten rules that matter most. "Offering unlimited...

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...

Cetera Financial Group snags another senior LPL executive

May 9, 2018

Cetera Financial Group continues to pick off senior executives from key rival LPL Financial, even as the independent broker-dealer industry speculates that the two giant firms possibly could merge in the near future. Late Wednesday afternoon,...

Stifel CEO Ron Kruszewski blasts firms that try to restrict broker movement

May 1, 2018

Registered reps and financial advisers should not be tethered to the firm's they work for, according to Ronald Kruszewski, chairman and CEO of Stifel Financial Corp. When firms restrict advisers from potentially moving to a new employer, it's...

The next generation of advisers don't just want a job – they want inspiration

April 30, 2018

With the age of the average independent adviser remaining stubbornly high, firms that support these professionals have become more resourceful and focused in reaching out to the younger generation. From supporting more CFP programs at the college...

Will LPL's new rich recruiting deal lure advisers?

April 30, 2018

It is too early to tell the impact of LPL Financial's new, unprecedented recruiting deal, which one recruiter described as "the best deal that's out there." Instead of paying a broker a percentage of the prior year's fees and commissions, known...

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