Results for "wells fargo advisors"

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Wells Fargo adviser managing $300 million sets up RIA

November 7, 2019

David Mattern, who managed $300 million at Wells Fargo Advisors, has launched Mattern Wealth Management, a registered investment adviser, in Lawrence, Kan. [More:​ See more adviser moves in InvestmentNews' Advisers on the Move database.] He...

T3 Enterprise conference: Race to zero a popular topic

October 29, 2019

One of the biggest themes of the 2019 T3 Enterprise conference, which caters to technology decision makers at banks, broker-dealers and adviser networks, wasn't even about technology. An undercurrent at many of the panel discussions was the...

Stifel team managing $800 million moves to Wells Fargo

October 25, 2019

Manuel "Manne" Palan, Pamela A. Glaser and Danny Shoshnik, who managed $800 million at Stifel Nicolaus, have moved to Wells Fargo Advisors. [More:​ See more adviser moves in InvestmentNews' Advisers on the Move database.] The advisers, who...

Three Wells Fargo reps managing $150 million move to Raymond James

October 22, 2019

Roper Fields, Thomas Fields and B.V. Lawson, who managed $150 million at Wells Fargo Advisors, have joined the employee unit of Raymond James in Cool Springs, Tenn. [More:​ See more adviser moves in InvestmentNews' Advisers on the Move database.]...

Wells Fargo trio managing $225 million moves to RIA

October 22, 2019

Bratton DuBose, Daniel Bettencourt and Rebecca Dammann, who managed $225 million at Wells Fargo Advisors in Bozeman, Mont., have opened an office there for Ashton Thomas Private Wealth, an RIA firm based in Scottsdale, Ariz. [More: See more...

Much expected of Charlie Scharf as he prepares to take helm of Wells Fargo

October 21, 2019

Wells Fargo & Co.'s long-awaited next leader, Charlie Scharf, is formally taking over Monday with a fairly straightforward mandate: Finish what three predecessors couldn't. [More:​ Makeover at Wells Fargo Advisors well-received] The bank's...

Trio managing $380 million at Wells Fargo joins Janney

October 21, 2019

Advisers Christopher Ozazewski, Elizabeth Plunkett and Eric Decker, who managed $380 million at Wells Fargo Advisors, have joined Janney Montgomery Scott in Bel Air, Md. [More: See more adviser moves in InvestmentNews' Advisers on the Move database.]...

Firms advance culture that supports differences

October 17, 2019

At its second annual Excellence in Diversity & Inclusion Awards event, InvestmentNews recognized financial advice industry firms that are advancing diversity and inclusion within their own firms and around the profession. [More: The Excellence...

Wells Fargo reps managing $280 million move to Stifel

October 15, 2019

Four registered representatives who collectively managed $280 million at Wells Fargo Advisors have moved to Stifel Nicolaus & Co. in the Southeast. [More:​ See more adviser moves in InvestmentNews' Advisers on the Move database.] Jason Jungberg...

Head count at Wells Fargo Advisors slips, but exits continue to slow

October 15, 2019

Wells Fargo Advisors is continuing to see churn in its broker and adviser workforce, but — after three years of watching advisers leave the firm in the wake of banking scandals — the pace continues to slow down. In the earnings report Tuesday...

Adviser managing $100 million at JPMorgan Chase goes indie with LPL

October 14, 2019

Joseph Mazzucco, who managed $100 million at JPMorgan Chase in Rye Brook, N.Y., has formed his own firm, Stonebrook Wealth Management. [More:​ See more adviser moves in InvestmentNews' Advisers on the Move database.] The new firm, which will...

Finra bars ex-Wells Fargo Advisors rep who did not cooperate with investigation

October 14, 2019

The Financial Industry Regulatory Authority Inc. on Thursday barred a former Wells Fargo Advisors broker who did not cooperate with a Finra investigation. Earlier this year, the broker, Stephen Klinger, had been fired by Wells Fargo after it...

Wells Fargo adviser managing $250 million moves to Alex. Brown

October 14, 2019

Eric Dexter, who managed $250 million at Wells Fargo Advisors, has joined the Alex. Brown division of Raymond James. [More:​ See more adviser moves in InvestmentNews' Advisers on the Move database.] Mr. Dexter will work from a branch office...

Wells Fargo names BNY Mellon's Charles Scharf CEO

September 27, 2019

Wells Fargo & Co. named Charles Scharf chief executive officer, marking a new era in the bank's efforts to turn itself around after a series of scandals claimed two previous CEOs in the past three years. Scharf, the CEO of Bank of New York Mellon...

Finra bars former Wells Fargo broker for insider trading

September 26, 2019

The Financial Industry Regulatory Authority Inc. has barred Joseph Pratt, who most recently was a broker at Stifel Nicolaus in Conshohocken, Pa., for trading insider information dealing with biopharmaceutical clinical trials in 2013 and 2014....

John Rogers: Industry has 'gone backwards' on diversity and inclusion

September 24, 2019

John W. Rogers Jr., chairman of Ariel Investments and a pioneer of diversity and inclusion in the financial services profession, issued a reality check for industry participants Tuesday, saying the industry has backtracked rather than improved...

Wells Fargo reps managing $575 million to open RIA

September 17, 2019

Sarah Berry and Michael Machnowski, two veteran brokers who managed $575 million with Wells Fargo Advisors, are leaving the firm to open The Berry Group, a fee-only registered investment advisers in Worcester, Mass. [More: See more adviser moves...

Wells Fargo adviser managing $300 million creates hybrid

September 3, 2019

Chuck Cooper, who managed $300 million as part of a team at Wells Fargo Advisors in Lee's Summit, Mo., has formed a hybrid firm called StrongBox Wealth. [More:​ See more adviser moves in InvestmentNews' Advisers on the Move database.] Joining...

Kansas City duo managing $285 million changes channels at Wells Fargo

August 30, 2019

A Wells Fargo team managing $285 million in Kansas City, Mo., has switched from the firm's employee channel to its independent Wells Fargo Advisors Financial Network, or FiNet, channel. [More: See more adviser moves in InvestmentNews' Advisers...

Makeover at Wells Fargo Advisors well-received

August 20, 2019

Wells Fargo Advisors continued a reorganization of its wealth management business, cutting about a dozen market manager positions last week. And for some, it couldn't have come sooner. "Wells Fargo Advisors has been top heavy with management...

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