Ameriprise Financial Inc. said it recruited a team in Phoenix, Arizona, that had managed more than $450 million in assets at UBS.
Christine Gustafson, founder of Phoenix Wealth Management, had been affiliated with UBS since 2009, according to her BrokerCheck report. She has 37 years of experience, starting at PaineWebber in 1984. Gustafson specializes in working with high-net-worth clients, family offices and charitable foundations.
Making the move along with Gustafson are private wealth adviser Norman Lemus and staff members Amanda Morrell and Lisa Campbell. Lemus serves as portfolio manager for the firm’s Tobacco-Free Portfolio, which was designed for the American Heart Association.
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.
