Results for "regional brokerages"

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Baird expands in the oil patch

April 9, 2013

Robert W. Baird & Co. Inc. is expanding its wealth management operations in Texas, recruiting seven former Wells Fargo advisers and hiring veteran UBS manager John Hantak to open a new office in Houston. All seven previously worked at AG Edwards...

Brightscope set to push out adviser fees

April 9, 2013

Brightscope Inc. has begun collecting fee data from advisory firms' ADV forms and plans to begin releasing the information sometime this year, potentially providing the public with a powerful tool to compare advisers' pricing. “If we can help...

Raymond James sweetens the pot for hybrids

March 18, 2013

Bowing to competitive pressures, Raymond James Financial Services Inc. is sweetening the pot for its top independent hybrid advisers but the moves might not be enough to move the attract loads of new advisers. Advisers with Raymond James Financial...

Finra's broker-comp proposal raises hackles

March 5, 2013

Two major financial market lobbies have criticized a regulatory proposal that would require brokers to reveal the compensation incentives they receive when moving from one firm to another. In comment letters to the Financial Industry Regulatory...

So long, Morgan Keegan

February 26, 2013

Raymond James Financial Inc. has completed the integration of Morgan Keegan advisers and their clients to the company's technology platform ten months after closing on the acquisition of the brokerage. It simultaneously announced the retirement...

Senator pushes SEC's Walter on fiduciary rule

February 14, 2013

A rising leader on the Senate Banking Committee today pushed the Securities and Exchange Commission to advance a regulation that would subject brokers to an investment advice standard. “I would encourage the commission to make this a priority...

Edwards firm hits 100-broker mark with new Florida office

February 11, 2013

Benjamin F. Edwards & Co. has reached the 100-broker milestone with the addition of a new office in Melbourne, Fla. The Melbourne branch, the 28th office for the firm, is headed by 27-year industry veteran Betsy Dickson and her daughter, Dawn...

Clients trust advisers; advisory firms, not so much

February 5, 2013

Advisers are largely gaining client confidence even as financial firms continue to score low in the trust department following years of reports about Wall Street abuse. In fact, about 66% of investors believe that their adviser must always act...

Finra backtracks on plan to end 5% markup rule

February 4, 2013

The Financial Industry Regulatory Authority Inc. is backtracking on a controversial plan to end its 5% markup rule. In a regulatory notice posted last Thursday on its website, Finra asked for comment on an updated proposal that would keep the...

Stifel flying lazy circles over B-D stragglers

February 1, 2013

Stifel Financial Corp. (SF) Chief Executive Officer Ron Kruszewski paused in mid-sentence and asked an employee for the list, a chart showing in red which of the St. Louis-based firm's rivals have closed or sold out. “There's this huge consolidation,”...

Why this 'Goldilocks' environment favors advisers on the move

January 31, 2013

2013 will be an active year for broker recruiting. The number of advisers and assets that change hands will comfortably surpass 2012's numbers. Several factors will drive this uptick in momentum. First, the nine-year retention awards rolled...

Finra proposes a link to BrokerCheck on firm websites

January 28, 2013

Investors would be able to access information about a financial adviser’s business and disciplinary history directly from the firm’s web page under a new rule proposed by the Financial Industry Regulatory Authority Inc. In a regulatory notice...

Cetera offers succession buyouts

January 4, 2013

Cetera Advisor Networks LLC is offering its regional directors and small to mid-sized broker-dealers the opportunity to sell their businesses to the firm when they're ready to retire. The new program is designed to provide Cetera directors —...

Are you settling? How advisers can get 'unstuck'

December 13, 2012

Have you ever felt stuck, like you've lost the energy and zest to continue pushing yourself toward your potential? Our industry is full of stories of advisers who have settled for less than they were hoping to achieve—sometimes much less....

INsider: Edward Jones contract — new or not — perplexes brokers

December 11, 2012

A small but intense burst of confusion was created last Friday by a report that Edward Jones had placed new and unprecedented levels of restriction on brokers who want to leave the firm. It turns out that those restrictions, while harsh, are...

Finra offers details on controversial bonus disclosure reg

December 7, 2012

The Financial Industry Regulatory Authority Inc. on Friday provided a few details about its upcoming proposal to require disclosure to clients of broker recruiting incentives. In a notice posted on its website, Finra said brokerage firms would...

InvestmentNews launches 'The Career Center'

December 2, 2012

InvestmentNews has launched a jobs board, The Career Center, at that provides financial advisers with information about - and direct access to - employment opportunities. Using the resources of The Advisor Center,...

Lessons from a fallen star

November 18, 2012

The rise and fall of superstar broker Don DeWaay provides an object lesson for the investment advice industry and shines a light into its future. DeWaay Financial Network LLC's turbocharged approach to peddling product — in this case, high-commission...

Five ways to break into the advice industry

October 15, 2012

One of the most popular stories we have ever published was the April 29, 2012 story by Mark Schoeff Jr., “A talent shortage looms as the industry booms”. Within 24 hours of posting, the story went viral and is now our second most-read story...

Team members out-earning solo advisers — and by a lot

October 4, 2012

Financial advisers interested in making more money may want to partner up at work. According to a Fidelity Investments survey of 1,207 advisers and brokers, advisers who are part of a team earn, on average, 32% more than their colleagues who...

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