Results for "staffing / personnel"

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Raymond James cuts 160 staffers, no advisers

April 12, 2013

Raymond James Financial Inc. has cut 115 jobs from its home office staff in St. Petersburg, Fla., and another 45 nationally in an “unprecedented” round of layoffs in the wake of its acquisition last year of Morgan Keegan & Co. Inc. The two...

Dodd, Frank to deliver keynote at MarketCounsel summit

April 3, 2013

MarketCounsel, a business and regulatory consulting firm to independent investment advisers, announced today that former Senate Banking Committee Chairman Christopher J. Dodd, D-Conn., and former House Financial Services Committee Chairman Barney...

Hey Yahoos, telecommuting not too popular with advisers, either

March 1, 2013

Many financial advisers agree with the notion that Yahoo Inc. chief executive Marissa Mayer put forth when she reined in telecommuters at the Internet search engine company this week — collaboration works best if people are actually together....

B-Ds' parent raises cash, shakes up management

January 25, 2013

National Holdings Corp. said on Friday it completed raising capital and has closed on an $8.8 million private offering of common stock to a group of unnamed investors. The new round of fund raising eliminates all outstanding debt and capitalizes...

Survey reveals how to keep workers happy

January 25, 2013

Advisory firms looking to hold on to their best people may want to examine how flexible they are with their employees' schedule. While the top two reasons employees are most likely to stay with their company are pretty obvious — higher salaries...


December 2, 2012

Rank Firm Total assets ($M) Total accounts Discretionary assets ($M) Discretionary accounts Nondiscretionary assets ($M) Nondiscretionary accounts Employees 1 Financial Engines Advisors LLC $47,500.0 616,834 $47,500.0 616,834 $0.0 0 350 2 Hall...

Get your X's and Y's down now, advisers told

October 23, 2012

Aging advisers need to start planning for the next generation of advisers and clients, Tom Nally, president of TD Ameritrade Institutional, said today at the firm's fall regional conference in Dana Point, Calif. “The demographic and generational...

Merrill Lynch names new head of alts group

October 19, 2012

Bank of America Merrill Lynch has named a new head of its Alternative Investments Group, as demand from its advisers for alternatives is expected to double assets over the next three to five years. Keith Glenfield, former chief operating officer...

CFP Board launches ads on NPR

October 1, 2012

National Public Radio listeners are hearing an advertisement that encourages them to turn to a financial planner for guidance on their investments. The NPR ad campaign, which began Monday and runs through mid-November, is the latest phase of...

Brits consider recruitment code like U.S. version

September 28, 2012

The British financial services industry is considering development of a recruitment protocol similar to the pact used in the U.S. Members of Britain's Tax Incentivised Savings Association (TISA) met Sept. 20 to begin work on a British version...

Merrill poaches MSSB insurance exec

September 24, 2012

Bank of America Merrill Lynch has snagged an executive from Morgan Stanley Smith Barney LLC to run its insurance and annuities business. Michael Maghini joined Morgan Stanley in 2006 after working for Smith Barney and its merger partners for...

Securities industry urges California's Brown to nix social-media law

September 17, 2012

California could be the latest state to ban employer access to employee's pages on social-media sites — a prospect that has the investment industry worried about limits on oversight. The bill, passed by the California Legislature last month,...

RIAs: Potential buyers want scale to do sale

September 14, 2012

Advisers expecting a white knight to reward them for the time and effort they've spent building their practice when they're ready to retire could be sorely disappointed. While many solo advisers might be happy treating their business as an annuity...

Ex-Jet Chrebet bolts Morgan Stanley, joins Barclays

September 5, 2012

Barclays Plc recruited a team for its wealth and investment management division from Morgan Stanley Smith Barney that includes former New York Jets wide receiver Wayne Chrebet. Edward Moldaver, who leads the New York-based group, was named managing...

Vanguard's Sauter set to retire

June 22, 2012

The Vanguard Group Inc. announced Friday that chief investment officer Gus Sauter, 57, is set to retire at the end of the year. Mortimer J. “Tim” Buckley, managing director of Vanguard's retail-investor group, will succeed him. “Under...

Longtime MSSB veteran Hatch is exiting

June 10, 2012

Paul Hatch, head of investment strategy and client solutions at Morgan Stanley Smith Barney LLC, is leaving the firm “to pursue new entrepreneurial passions.” MSSB president Gregory Fleming announced the news to employees in a memorandum...

Invesco Limited shakes up its distribution team

June 10, 2012

Invesco Ltd. is reorganizing its U.S. retail distribution team to make it more effective. The mutual fund firm is combining its U.S. retail-sales group with its marketing, product management and global exchange-traded-fund groups “to help ensure...

Wirehouse pay approaching parity with indie advisers': Study

June 5, 2012

Yet another reason for wirehouse brokers to think about going independent: the compensation incentives just aren't there anymore. This year, average compensation for elite brokers at wirehouses — exclusive of their recruiting bonus — is...

E.F. Hutton reaches into alumni ranks for director

May 30, 2012

E.F. Hutton Group, the long-dormant brokerage firm that recently announced its relaunch, announced today that Jamie Price has joined its board of directors. Mr. Price, 52, will be a member of the board of the holding company and of E.F. Hutton...

LPL taps new human capital officer

May 17, 2012

LPL Financial announced that Sallie Larsen was appointed managing director and chief human capital officer. Ms. Larsen, who is based in San Diego and reports to Mark Casady, chairman and CEO of LPL, started on May 1. In her new role, Ms. Larsen...

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