A team of three advisers managing $350 million at Merrill Lynch in St. Petersburg, Fla., has joined the employee-broker unit of Raymond James, which is headquartered there.
The team consists of Tim Gross, Leslie Gross and Mike Brown, as well as associate Jamila Kravarusic.
Mr. Gross was with Merrill Lynch for 23 years, Ms. Gross for 20 years, and Mr. Brown for the past 14 years, after beginning his career in 1995 at First Union.
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.
