Raymond James has added a team of three financial advisers who managed about $409 million at Merrill Lynch. The advisers will join the firm’s employee adviser channel, Raymond James & Associates, the firm said.
Steve Harman, Mark DeGon and Jake Phillips are based in Spokane, Washington, and will operate as Panorama Wealth Management of Raymond James. They were joined in the move by two staffers, Jennifer Jones and Kaitlyn Harman.
Harman has almost 30 years of experience, having started at Merrill in 1992 as a wealth management adviser. DeGon started at Merrill in 1993. Phillips worked as a certified public accountant before joining Merrill Lynch in 2014.
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.
