James Ducharme and Michael C. Rowland, who managed $194 million at UBS Financial Services, have joined the employee unit of Raymond James in Melbourne, Florida.
The duo were joined by three in staff.
Mr. Ducharme began his securities career at Dean Witter Reynolds in 1993 and joined UBS three years later.
Mr. Rowland began his financial services career at Raymond James in 2008 before joining a relative’s practice at UBS in 2010.
Despite a lighter regulatory outlook and staffing disruptions at the SEC, one compliance expert says RIA firms shouldn't expect a "free pass."
FINRA has been focused on firms and their use of social media for several years.
RayJay's latest additions bolster its independent advisor channel's presence across Pennsylvania, Florida, and Washington.
The deal ending more than 30 years of ownership by the Swiss bank includes six investment strategies representing more than $11 billion in AUM.
Divorce, widowhood, and retirement are events when financial advisors may provide stability and guidance.
How intelliflo aims to solve advisors' top tech headaches—without sacrificing the personal touch clients crave
From direct lending to asset-based finance to commercial real estate debt.
