Results for "staffing / personnel"

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Advisers should expect a bleak year: Bove

October 7, 2011

Richard Bove, a banking analyst with Rochedale Securities LLC, is expecting a bleak year for investment banks and brokerages, and suggests that financial advisers can expect less support from their parent firms and will see fewer opportunities...

This adviser is in hiring mode

October 7, 2011

Small-business hiring stalled in September as owners await signs of an improving economy, but the picture is brighter for independent investment advisers, a large RIA firm argued. “We have seen a pickup in business,” said Terry Siman, managing...

So long, Sallie: BofA gives Krawcheck $6M golden handshake

October 7, 2011

Bank of America Corp., the lender seeking to trim expenses by eliminating at least 30,000 jobs, will pay former wealth-management division head Sallie L. Krawcheck $6 million after her dismissal last month. That sum includes one year of her...

New fiduciary certification floated by Don Trone

September 20, 2011

Don Trone hopes that registered representatives have enough room on their business cards for yet another three-letter designation, because he thinks they are going to need it. The company he founded and leads, 3ethos, is launching a new fiduciary...

Bank of America to slash 30,000 jobs to cut costs

September 12, 2011

Bank of America Corp. will eliminate 30,000 jobs in the next few years as part of Chief Executive Officer Brian T. Moynihan's plan to bolster profit and the company's stock. The reductions, equal to about 10 percent of the staff, are part of...

Baird lures father-son team from Wells Fargo

September 6, 2011

Robert W. Baird & Co. Inc. continues to add to its adviser ranks. Last week, the investment bank and brokerage firm lured father-son team M. William McCollum Jr. and Travis McCollum from Wells Fargo Advisors LLC to work in its Charlotte, N.C.,...

Compliance pros should be the biggest winners under Dodd-Frank

August 25, 2011

Compensation for financial services compliance experts has been stagnant over the past few years, but that situation should be improving soon, largely thanks to the Dodd-Frank Act, according to a study by National Regulatory Services. The compliance...

HighTower scores $1B adviser

August 18, 2011

HighTower Advisors LLC has landed Margaret Towle, a high-end investment adviser with Greycourt & Co. Inc. doing business in Seattle and Minneapolis, despite market volatility that tends to keep advisers put. Ms. Towle, who manages in excess...

Investors Capital will subsidize FSI memberships for its advisers

August 12, 2011

The Financial Services Institute, the lobbying organization for independent broker-dealers, said Friday that it had picked up the support of advisers this week from sizable independent broker-dealer Investors Capital Corp. On Monday, LPL Financial...

Two top Securities America advisers bolt for rival LPL Financial

August 10, 2011

Two of Securities America Inc.'s top advisers, including the head of its largest financial adviser group, walked out the door this week to join rival LPL Financial LLC. Donald Patrick, president of Integrated Financial Group of Atlanta, joined...

Jobs to the rescue? Treasury yields rise from lows as economic concern eases

August 5, 2011

Treasuries tumbled, pushing up yields up from the lowest this year, after data showed the U.S. jobs market gained traction in July, easing concern the economic recovery is stalling. U.S. two-year note yields increased from a record low yesterday...

Former A.G. Edwards execs are out at Wells Fargo

August 5, 2011

Several former long-time executives of A.G. Edwards & Sons Inc. are no longer with Wells Fargo Advisors LLC, InvestmentNews has learned. Peter Miller, president of the advisor development group at Wells Fargo & Co., Michael Scafati, a senior...

Bank of America Merrill Lynch still on hiring roll

August 2, 2011

Bank of America Merrill Lynch has announced the hiring of six new financial advisers late yesterday, after a pair of private bankers managing more than $1 billion in assets moved their practice to independent registered investment adviser shop...

Ron Carson announces adviser hire for new RIA

July 20, 2011

Ron Carson has announced his first pickup, well-known veteran investment adviser Rob Isbitts, to become the chief investment officer for his new RIA, CWM LLC, which was launched July 1. Mr. Isbitts co-founded Emerald Asset Advisors LLC in 1998....

Revolving-door study of SEC cites ethics-advice record

July 13, 2011

U.S. Securities and Exchange Commission employees who leave the regulator for work with private companies often find positions with firms most heavily involved with the agency, the Government Accountability Office said. More than a third of...

Top advisers with $68B in client assets jumped ship in 2010

December 15, 2010

Hundreds of financial advisers switched firms this year, many looking for opportunities to build equity in themselves and some exiting after mergers. A fair amount of advisers were also lured by big bucks, recruiters and industry experts noted....

U.S. Trust loses $5.9B adviser to new wealth venture

December 6, 2010

Todd S. Thomson, Citigroup Inc.'s former head of wealth management, lured a top Bank of America Corp. financial adviser with $5.9 billion in client assets to join a new business that caters to independent advisory firms. Michael C. Brown, 52,...

Tips from top RIAs: Jon Yankee

December 2, 2010

The InvestmentNews Research Team: recently completed a successful series of workshops based on the results from the InvestmentNews/Moss Adams Financial Performance Study of Advisory Firms. Learn some key business management tips from top-performing...

Investment industry jobs make a comeback

November 14, 2010

Hiring in the asset management business rebounded in 2010 after two sluggish years, but active-domestic-equity managers are on the outs, according to a recent report by executive recruiting firm Russell Reynolds Associates Inc. Russell Reynolds'...

Wall Street edging back to hiring mode

November 14, 2010

Signs are emerging that Wall Street is looking to staff up after a long, painful purge. This month, Job Expo International held its first financial job fair in two years. More than 300 people paid the $10 admission to line up in the basement...

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