Results for "edward jones"

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Wells Fargo team managing more than $239 million joins Janney

October 16, 2018

Janney has landed a four-member team from Wells Fargo Advisors. The team, which has more than 50 years in combined industry experience, managed over $239 million in client assets. Called KSF Wealth of Janney Montgomery Scott, the team of advisers...

Top Considerations for Successful Client Planning

October 9, 2018

Financial advisors routinely help their clients manage retirement planning, but when it comes to planning for their own future, they hesitate. It can be a daunting task, but you owe it to yourself and your clients to ensure a smooth transition...

A human touch in a digital world

October 6, 2018

As a senior financial planner for Betterment, Nick Holeman, 27, is one of hundreds of financial advisers working with thousands of clients in a novel way — as a complement to a robo-adviser. But his financial advice career began in the most...

Securian loses $700 million indie to Commonwealth

August 21, 2018

Integrated Equity Management, an independent firm managing $700 million in Bloomington, Minn., has switched its broker-dealer affiliation from Securian Financial Services to Commonwealth Financial Network. The firm, headed by Ted Smith, is 35...

Merrill team managing $235 million goes indie with Raymond James

August 20, 2018

A three-adviser team managing $235 million at Merrill Lynch in the Toledo, Ohio, area have created Patton Wealth Management and affiliated the firm with the independent unit of Raymond James. The firm, headed by David Patton, Miles O'Mailia...

The rise of the female financial adviser

August 8, 2018

Our industry has long lamented the small percentage of female advisers. Indeed, the data show that only around 17% of all advisers are women. But has the time (finally!) come for the rise of the female financial adviser? The Tipping Point We...

Edward Jones, Commonwealth Financial top J.D. Power list of top brokerage employers

June 28, 2018

When it comes to workplace satisfaction among broker-dealers, some firms stand out from the pack. According to the latest research from J.D. Power, Commonwealth Financial, Raymond James Financial and Cambridge Investment Research fill the top...

JPMorgan asks court for injunction against rep who left for Merrill Lynch

June 19, 2018

J.P. Morgan Securities has asked a federal court in Indiana to grant a temporary and preliminary injunction restraining one of its former brokers, Gabriel Campbell, from soliciting former clients to join him at his new employer, Merrill Lynch....

BlackRock expands risk analytics tool to wealth managers overseeing billions in assets

June 12, 2018

Almost three decades ago, BlackRock Inc. created software to obsessively monitor the then-fledgling firm's financial risks. Now, after turning it into an essential tool on Wall Street, the firm is zeroing in on another kind of client: financial...

Melanie Housden: My nightmare exit from Edward Jones

June 12, 2018

Leaving one firm and heading to another can be a delicate, and sometimes harrowing, situation. When Melanie Housden left Edward Jones it turned litigious and got worse from there. Check out her story.

Ex-Edward Jones broker sues former firm, alleging racial bias

May 25, 2018

A former Edward D. Jones broker sued the firm Thursday, claiming widespread, intentional racial discrimination in the firm's policies and practices. The ex-broker, Wayne Bland, is African-American and worked at Jones from 2014 to 2016. The lawsuit,...

UBS latest to make push for young, diverse advisers

May 22, 2018

Correction: An earlier version of this story incorrectly stated that 20 young advisers had completed UBS' general adviser training program. That is the number that have started the program.​ UBS Wealth Management Americas is the latest firm...

With female managing partner in the wings, Edward Jones emphasizes diversity

May 10, 2018

At a time when the financial advice industry is desperately attempting to become younger and more diverse, Edward Jones' move earlier this week to tap a woman as its next managing partner will only make the firm more attractive to potential...

Growth in BlackRock ETFs likely to slow

April 12, 2018

Even as BlackRock Inc.'s assets advanced to $6.3 trillion and its growth appears unstoppable, there are signs the firm isn't invincible. Net flows for its global iShares exchange-traded funds declined 46% in the first quarter, to $34.6 billion...

Edward Jones loses $185 million team to Ameriprise

April 4, 2018

A two-person team that managed $185 million in assets at Edward Jones in Meridian, Idaho, has joined the franchise channel of Ameriprise Financial Inc. Paul Orlando and Derek Busby will operate under the name of Granite Financial Management,...

DOL fiduciary rule sparks charges of reverse-churning

April 4, 2018

As more broker-dealers move clients from commission-based accounts to those that charge annual fees — in some cases as a way to insure they are complying with the Department of Labor's fiduciary rule — they may be in danger of exposing themselves...

Finra bars no-show broker discharged for unauthorized trading

March 26, 2018

The Financial Industry Regulatory Authority Inc. has barred Sanders Spangler, a former LPL broker, for not appearing at a Finra hearing looking into his trading activity on behalf of clients. In February 2017, LPL discharged Mr. Spangler after...

Trump true believers are going wild over stocks

March 6, 2018

As 2017's roaring bull market gives way to a markedly choppier 2018, the buzz among Wall Street stock touts is that the best of the Trump Trade has passed. Sure, more gains could be wrung out, and probably will be, but nothing like the 30% burst...

AI, social media have an important place in the advice world

February 23, 2018

Technology is fundamentally shifting societal norms, expectations and behaviors, and advisers must adjust to them if they want to survive. Just consider what we used to tell children about getting into cars with strangers, said Sunayna Tuteja,...

USAA, Edward Jones, Ameriprise ranked most understandable by clients

February 13, 2018

Investors don't just want low prices, they want financial services they can understand. A new study by Hearts & Wallets, which asked more than 5,000 households to rate their top two financial providers on service and pricing, found a firm that...

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