Results for "pershing llc"

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LPL loses broker-dealer business of $915 million hybrid to Private Client Services

June 4, 2018

RFG Advisory, a hybrid firm based in Birmingham, Ala., whose RIA arm manages $915 million, has switched its broker-dealer affiliation from LPL Financial to Private Client Services. According to its website, the hybrid has $817 million in brokerage...

InvestmentNews Research and State Street Global Advisors Release New Study, “Women in Advice: Inspiring the Next Generation of Financial Advisers”

February 9, 2018

BOSTON, February 7, 2018 — InvestmentNews and State Street Global Advisors, the asset management business of State Street Corporation (NYSE: STT), today announced new research into many of the reasons why women still represent a distinct minority...

Voya to pay $3.1 million for disclosure violations ​

March 9, 2017

Voya Financial Advisors has agreed to pay almost $3.1 million as a result of payments it received from its clearing broker in connection with the sales of mutual funds. In settling a cease-and-desist order from the Securities and Exchange Commission,...

Shareholders Service Group to offer Jemstep Advisor Pro to RIAs

February 17, 2017

Jemstep Advisor Pro, a client engagement and investment management tool, is being made available to the more than 1,500 RIA firms that do business with Shareholders Service Group, Jemstep's parent, Invesco, said in a press release. The Jemstep...

2016 custodians and clearing firms ranking

August 11, 2016

Clearing Firms listed by number of broker-dealer clients Firm Website # of clients % change vs. 2015 Contact Phone Email Pershing LLC www.pershing.com/who-we-serve/broker-dealers 743 -3.80% Michael Row (800) 445-4467 pershing.com/contact/ RBC...

Pershing expands its digital advice with NextCapital partnership

February 23, 2016

Pershing LLC has partnered with NextCapital, an adviser-facing robo platform, to be its first custodian. This time, however, the robo has chosen Pershing as the custodian in what Rob Foregger, co-founder of NextCapital, said is the company's...

Fidelity using eMoney to create custodial competitor's nightmare

February 11, 2016

Fidelity Investments has set its sights on the ultimate data dashboard for its advisers, likely using eMoney Advisor's technology and the financial planning software's relationships with custodial competitors. The platform, called WealthScape,...

Pershing moves COO Lisa Dolly into CEO role, as Ron DeCicco retires

February 4, 2016

Pershing LLC has named Lisa Dolly as its new chief executive officer, effective Feb. 16. Ms. Dolly, currently the firm's chief operating officer, is replacing Ron DeCicco, who is retiring as CEO following a 45-year career with Pershing, a BNY...

Advisory firm owners balance rewarding performance with keeping a lid on compensation

October 18, 2015

Adviser salaries have been stagnant for the past two years, but bonuses are up sharply, reflecting a willingness by employers to reward performance while at the same time keeping a lid on overall compensation. Adviser salaries last year were...

Adviser technology rundown: Overcoming inefficiencies

October 13, 2015

Patrick Yip, director of technology at Pershing LLC, on how technology aims to solve for advisers' top opertaional and workflow challenges.

A financial adviser career path: The unknown road

November 26, 2014

Our team at The Advisor Center is well-versed in the benefits of a career as a financial adviser or planner. We are often surprised by the number of those outside the industry who are unaware of what this industry has to offer in terms of job...

Bridging the adviser generation gap to make succession planning work

September 24, 2014

Emotions can throw a wrench into even the best-laid succession plans — especially when advisers and successors bring conflicting expectations to the table. Now, more than ever, research suggests that emotional wire-crossing could be a growing...

Meet the next wave of $1B advisory firms

September 10, 2014

This is an excerpt from the 2014 InvestmentNews Financial Performance Study of Advisory Firms. To order the full study (available now), click here. Rapid growth has created a new type of advisory firm — a large, sophisticated, aggressive,...

Clearing firms ranked by broker-dealers served

August 13, 2014

Firm Address City, State Zip Phone Website # of clients % change Primary contact for B-Ds Phone/ e-mail Pershing LLC 1 Pershing Plaza Jersey City, NJ 07399 (201) 413-2000 pershing.com 811 -3.3% Michael B. Row (Managing director) brokerage.info@pershing.com...

Will Junxure Cloud's release prove worth the wait?

July 11, 2014

Junxure Announces Wide Release of Junxure Cloud CRM for Financial Advisors from PRNewswire. Junxure CRM, an industry-leading practice improvement firm for financial advisers that integrates CRM technology, consulting and training, announced...

Workflow platform could revolutionize the way advisers use technology

November 25, 2013

On this week's broadcast, learn about new technology offerings from two of the top institutional custodians, a bold new workflow platform launches with the potential to revolutionize the way you use technology, and a new app is introduced to...

Turning advice on its head

October 13, 2013

It's a Friday afternoon at the end of August, and Joe Duran is directing a working lunch with his top executives at United Capital's headquarters in Newport Beach, Calif. It's “college color war” day at the firm. Financial advisers and staff...

Advisory industry shines, but there's work ahead

October 13, 2013

Financial advisory, for all of its ups and downs, fits and starts, is a remarkable — and remarkably resilient — industry. And there is no better time than now to be in it. In the face of perennial issues such as the constant drumbeat of...

Characteristics of successful firms

October 6, 2013

As the financial advice industry continues to grow and evolve, some of the biggest challenges for advisers go well beyond asset management or even delivery of advice. Running a consistently profitable practice is complex, but the 2013 InvestmentNews/Moss...

Financial advice firms soar

October 6, 2013

The financial advice industry is growing up, having evolved over the past decade from a cottage industry into a dominant force in the wealth management business. Indeed, over the last 10-plus years, there has been an explosion in the revenue...

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