A team of advisers managing $250 million at BBVA have joined the employee unit of Raymond James in Birmingham, Alabama.
Peppi Talley and Jessica Hall have made the move along with adviser Fletcher Talley and client associates Kay Hughes and Lindsay Madonia.
Talley had worked 35 years at BBVA and predecessor firms Central Bank of the South and Compass Bank. Hall joined Compass in 2004.
Meanwhile, DPL Financial Partners adds two annuity executives and Prime Capital Financial hires a Mid-Atlantic retirement plan consultant
Andrew Komarow pleaded guilty Thursday in federal court in Hartford to defrauding three financial services companies of close to $3.3 million.
Elsewhere, Cetera picks up a $210 million Connecticut team from MML, while Wells Fargo FiNet adds a San Diego family practice from LPL
“We needed to become a more agile and efficient organization,” said American Express CEO Stephen Squeri.
Examiners will scrutinize fee conflicts, complex products and super intelligence threats as broker-dealers face fresh Reg BI and AML reviews
Knighthead Life entered the market with a competitive MYGA. A strong launch earned advisor confidence and paved the way for FIAs.
As AI makes financial information more accessible than ever, Lana Hock explains why human judgment, trust, and empathy remain the qualities clients value most in a financial advisor
