Results for "recruiting"

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MSSB castoffs ‘attractive' candidates for other firms

March 10, 2011

The 200 to 300 financial advisers and trainees given their walking papers at Morgan Stanley Smith Barney this quarter probably won't have much trouble finding a new job, say industry recruiters. With firms from Edward Jones to Robert W. Baird...

Krawcheck to Merrill brokers: No 'garden leave' for you

March 10, 2011

Sallie Krawcheck, head of Bank of America Corp. (BAC)'s wealth management division, told Merrill Lynch financial advisers that a new “garden leave” policy doesn't apply to them, said two people with knowledge of the matter. Concern had spread...

Baird snags managers from MSSB, aims to hire 150 more advisers

March 9, 2011

Robert W. Baird & Co. Inc. is opening up an office in Salt Lake City to offer financial advice with the help of Dean Cottle, a veteran wirehouse complex manager from Morgan Stanley Smith Barney LLC. Mr. Cottle and Theresa Sommerdyke, a vice...

Sallie Krawcheck: Bring on the indies

March 4, 2011

On a slushy January morning in New York City, Sallie Krawcheck sits at a marble-top table in her corner office on the 50th floor of the Bank of America tower, the second-tallest skyscraper in town. Although pedestrians far below are dodging...

Why Edward Jones could add 2,400 new reps this year

February 24, 2011

Brokerage firm Edward Jones this week announced that it plans to add up to 20 branch offices to the more than 60 it has in the state of Utah. But Utah, of course, isn’t the only territory that the St. Louis-based broker is targeting. The firm...

Prickly BofA slaps 'garden leave' restrictions on advisers

February 18, 2011

Has Bank of America Corp. upped the ante in the battle between the wirehouse and the independent advisory firms gunning for their top producers? A document obtained by Bloomberg News earlier today suggested that a new employee agreement at the...

Can LPL hit its recruitment target - and at what cost?

February 6, 2011

Mark Casady, chief executive of LPL Investment Holdings Inc., has reiterated aggressive growth targets for the country's largest independent broker-dealer. Speaking at the Morgan Stanley financial services conference last week in New York, he...

INTV: One B-D's secret for recruiting top-producing advisers

February 2, 2011

Among the largest independent broker-dealers, Commonwealth Financial Network has the highest concentration of financial advisers who produce more than $500,000 annually, according to InvestmentNews data. And it's reached the top by getting people...

LPL has plans to add 400 advisers a year

January 23, 2011

LPL Investment Holdings Inc., already the largest independent broker-dealer in the industry, wants to add 400 registered reps and investment advisers each year, chief executive Mark Casady said last week. Mr. Casady, in his first public comments...

Summit signs Shula

January 23, 2011

Summit Financial Services Group Inc. has hired Don Shula, 81, the winningest football coach in NFL history, to play on its team. Under the agreement, the former coach of the Miami Dolphins will serve as a corporate spokesman for the recruitment...

Independent broker-dealers fishing for top talent

January 23, 2011

Recruiting will become more expensive in 2011 as the fight for top advisers heats up among independent broker-dealers looking to bounce back from a lackluster 2010. Last year, some leading independent broker-dealers reported a 30% to 40% decline...

United Capital moving up the food chain, buys $1.6B RIA

January 13, 2011

United Capital Financial Partners Inc. is acquiring Zirkin-Cutler Investments Inc., a $1.6 billion registered investment advisory firm owned by M&T Bank Corp. The firm plans to announce two additional acquisitions tomorrow and yet another one...

Raymond James picks up $150M team from RBC

January 13, 2011

Raymond James Investment Advisors has landed a $150 million in assets team from RBC Wealth Management. Kenneth Jobes and Jonathan Solo formed the Houston-based Jobes Solo Investment Group LLC last October, and are in the process of bringing...

Firms declare war on deadbeat brokers

December 19, 2010

An increasing number of brokers appear to be skipping out on paying back what they owe on promissory notes. Note cases filed at Finra have surged, more than doubling over the past two years. Year-to-date through Dec. 12, 1,087 such cases had...

Billions in client assets on the move

December 19, 2010

Hundreds of financial advisers switched firms this year, many looking for opportunities to build equity in themselves and some exiting after mergers. Many were also lured by big bucks, according to recruiters and industry experts. At least 206...

Top advisers with $68B in client assets jumped ship in 2010

December 15, 2010

Hundreds of financial advisers switched firms this year, many looking for opportunities to build equity in themselves and some exiting after mergers. A fair amount of advisers were also lured by big bucks, recruiters and industry experts noted....

U.S. Trust loses $5.9B adviser to new wealth venture

December 6, 2010

Todd S. Thomson, Citigroup Inc.'s former head of wealth management, lured a top Bank of America Corp. financial adviser with $5.9 billion in client assets to join a new business that caters to independent advisory firms. Michael C. Brown, 52,...

U.S. Capital picks up more high-producing UBS reps

December 3, 2010

U.S. Capital Advisors LLC has picked up a $600 million team from UBS Financial Services Inc. — the second high-producing team the firm has picked up from UBS in the last six weeks. Partners David Harris and Ann Deaton joined Houston-based...

Tips from top RIAs: Jon Yankee

December 2, 2010

The InvestmentNews Research Team: recently completed a successful series of workshops based on the results from the InvestmentNews/Moss Adams Financial Performance Study of Advisory Firms. Learn some key business management tips from top-performing...

A headhunter's dinner with three unhappy advisers, Part 4

December 1, 2010

A Wirehouse Adviser, Regional Firm Broker, and a Boutique Firm Adviser are sitting with me for dinner. None of them are particularly happy with their current firms. Having trained together many years ago at the same wirehouse, they have stayed...

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