Displaying 2253 results
LPL adds Merrill advisor managing $300 million
Irvine, California-based Eric Gallinger is affiliating with LPL through Stratos Wealth Partners.
Merrill Private Wealth promotes Hans to lead unit
For the last six years, Lindsay Hans has headed Merrill's Northeast and Mid Atlantic Divisions. She succeeds Don Plaus, who's retiring.
Morgan Stanley team with $715 million joins Americana Partners
The team of eight in Midland, Texas, was brought to Americana by Dynasty Financial Partners.
Merrill advisor with $440 million in assets affiliates with LPL
Thom Maher is launching a firm, Maher Wealth Management, in Phoenix.
Sanctuary Wealth adds $1.5 billion Merrill team
Chappell Wealth Management is based in The Woodlands, Texas.
Dynasty Financial, in first-ever acquisition, picks up TruClarity’s breakaway business
Dynasty currently has 35 job openings, and CEO Shirl Penney said TruClarity's people, including CEO Pamela Stross, were a big part of its appeal.
Merrill launches new tool allowing advisors to record, share custom videos
The wirehouse's Video Pro guides advisors through creating compliance-approved content for clients and prospects.
Raymond James nabs $680 million team from UBS
The four advisors operate as Momentum Wealth Partners in Akron, Ohio.
Finra arbitrators order Credit Suisse to pay $1.3 million to former rep
The Swiss firm loses another dispute over deferred compensation related to the 2015 closure of its U.S. wealth management operation.
Alex. Brown nabs Florida advisor managing $250 million at Merrill
Daniel Laiter will join Alex Brown's Brickell Avenue branch in Miami.
UBS wealth management Americas adds assets but pace slows in tough 2022
UBS reported that it had 6,245 financial advisors in the Americas region at the end of last year, little changed from 6,218 at the end of 2021.
Finra bars ex-UBS broker in Texas who sold phony annuities
According to Robert Earl Turner's BrokerCheck profile, UBS has settled six disputes with his customers for close to $12 million.
UBS adds two teams from Merrill Lynch
The Klinger Quan Group, which manages more than $1.3 billion, joins in San Francisco, while David Sacharko and Sean Siana, with $340 million, join in Hartford, Connecticut.
Team of women managing $435 million join Raymond James from UBS
Jeanne Eisele, Mary Gilbert and Leanne Gray operate as Anchor Financial in Linwood, New Jersey.
Morgan Stanley fines bankers over $1 million each for using unapproved messaging platforms
The firm is the latest bank to require individual staff to bear some of the burden of an unprecedented regulatory investigation.
Morgan Stanley’s ETF debut strikes chord with fees, tests market with ESG focus
Nearly a year after it announced plans to enter the ETF space, the wirehouse is banking on its Calvert brand to carry the day.
Bank of America grants employees shares
Staffers earning up to $500,000 a year will share in a pool of restricted stock, according to a memo from CEO Brian Moynihan.
LPL adds two tech execs from Bank of America
Cory Triolo and Tim Checko are joining the IBD's investor and investment solutions team.
Wealth management shines at Morgan Stanley
The firm posted record net revenue in wealth management last year, in contrast to investment banking, where it saw a 49% decline in revenue during the fourth quarter.
Wells Fargo Advisors ended 2022 with stable advisor head count
Advisors at Wells Fargo have been under a cloud since 2016, when the bank's fake-account scandal erupted.
