Results for "recruiting"

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LPL hires senior exec from MarketCounsel with extensive knowledge of breakaway brokers

December 14, 2018

LPL Financial has hired a senior industry executive with an extensive background in so-called breakaway brokers, meaning financial advisers at large Wall Street banks and wirehouses who leave those institutions and become independent registered...

LPL Financial recruits five advisers from PNC Investments

December 6, 2018

LPL Financial has recruited a five advisers managing $225 million in client assets from PNC Investments. The advisers will align with Bedminster, N.J.-based Gladstone Advisors, and LPL's broker-dealer and corporate registered investment adviser...

Independent broker-dealers fastest-growing brokerage group

November 28, 2018

Independent broker-dealers saw the greatest asset growth over the past five years compared with other types of broker-dealers, according to new research from industry consultant Cerulli. IBDs posted a compound annual growth rate in assets of...

Step one: Withdraw from the broker protocol

November 10, 2018

Tired of having to pay six-figure bonuses to replace some of their most productive brokers who left for competitors after the financial crisis, Morgan Stanley Wealth Management and UBS Financial Services upended the wealth management industry...

More reps bolt from Waddell & Reed, including some it would have liked to have kept

October 31, 2018

Waddell & Reed Financial Inc. lost another 56 brokers in the third quarter, as senior management continued to stress its strategy of shedding low-producing talent and building the firm around its most productive advisers. For the 12 months ended...

LPL recruits $800 million advisory business from Signator

October 30, 2018

LPL Financial has recruited Seattle First Asset Management from Signator Investors. Seattle First, which has $800 million worth of brokerage and advisory assets, was founded in 2012 by Steven Jones, who stated that the transition to LPL is designed...

CFP Board issues white paper on increasing diversity in financial planning

October 23, 2018

Diversity and inclusion within the professional ranks of the financial planning industry continues to lag behind the U.S. minority population. According to a white paper from the Certified Financial Planner Board of Standards' Center for Financial...

Stifel, First Republic post top recruiting gains in Q3, as wirehouses continue to lose brokers

October 23, 2018

Two distinctly different firms posted the strongest gains of advisers during the third quarter, with registered reps and financial advisers continuing to leave large Wall Street firms. Stifel Nicolaus & Co. Inc., a retail wealth management shop,...

LPL rolls back recruiting policy aimed at driving more assets to its corporate RIA

October 22, 2018

LPL Financial is backing away from a contentious policy it created last year with the intent of driving more assets to its corporate RIA platform. Rolled out in August 2017, the policy required new advisers joining LPL to have at least $50 million...

LPL snatches $3.7 billion Exemplar Financial from Cetera

October 22, 2018

LPL Financial has delivered the latest salvo in its bitter rivalry with Cetera Financial Group by recruiting Exemplar Financial Network, a Crystal Lake, Ill.-based firm that supports $3.7 billion in assets under management. The firm ended its...

LPL reels in $520 million team from rival Cambridge

October 18, 2018

LPL Financial said on Thursday that a large, 14-person team in Cedar Rapids, Iowa, with $520 million in client assets recently left Cambridge Investment Research Inc. to join LPL. Premier Investments of Iowa is led by Jeff Johnston, president,...

Wells Fargo loses more reps in Q3; total now more than 1,000 since banking scandal broke

October 12, 2018

Wells Fargo Advisors continued to lose advisers in the third quarter, pushing the total to more than 1,000 since September 2016, when the brokerage network's parent company, the giant bank Wells Fargo & Co., revealed that bank employees had...

LPL reels in $275 million team from Securities America

October 9, 2018

LPL Financial said on Tuesday that it recently snagged a team of eight advisers based in Colorado with close to $275 million in brokerage and advisory assets from rival Securities America Inc., one of the broker-dealers in the Ladenburg Thalmann...

Is the worst over for Wells Fargo Advisors?

September 29, 2018

After six years as a broker with Wells Fargo Advisors, Michael Landsberg parted company with the firm this past summer. And while the prime reason was a chance to start his own registered investment advisory firm, Mr. Landsberg acknowledged...

Will Merrill Lynch leave the broker recruiting protocol?

September 25, 2018

Will Merrill Lynch leave the broker recruiting protocol? This is, by far, the question I have been asked most frequently during 2018. Let's examine the issues. In the fourth quarter of 2017, both UBS and Morgan Stanley departed the protocol,...

Another veteran recruiter walks away from LPL

September 18, 2018

Another veteran recruiter has walked out the door at LPL Financial, with veteran David Symecko last week moving to Fidelity Clearing and Custody Solutions. LPL has long been considered an industry powerhouse when it comes to recruiting and has...

LPL nabs $300 million firm from Cetera Financial

September 17, 2018

LPL Financial has recruited a $300 million advisory firm from Cetera Financial Group. Multop Financial, based in Bellingham, Wash., was founded in 1976 by Air Force veteran Phillip Multop. Today, the firm includes three financial advisers, three...

Raymond James nabs $203 million team from Morgan Stanley

September 11, 2018

O'Neill Wealth Management, a Mount Laurel, N.J.-based advisory firm with $203 million in client assets, has left Morgan Stanley to join Raymond James & Associates, the firm's employee broker-dealer. The advisory firm is comprised of a team of...

Secrets Behind Success: For RIAs, having the right talent requires diligence and investing in the future

August 21, 2018

Few business challenges are as persistently difficult as trying to bring the right people into an organization to achieve important goals. The talent challenge extends across industries, economic cycles, international boundaries – and eons...

LPL recruiters jump to Ameriprise bank broker

August 17, 2018

Ameriprise Financial Inc. is bolstering its presence in the bank broker market, this week snagging two recruiters from rival LPL Financial. The two, Justin Quillen and Iain Balfour, moved their securities registration to Investment Professionals...

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