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Fidelity reportedly fires about 200 for abusing employee benefit

May 7, 2018

Fidelity Investments has fired about 200 employees who were accused of abusing company benefits, according to a person familiar with the matter. Fidelity had a program which reimbursed workers for 20% of the purchase of computer equipment up...

AXA loses $150 million team to Ameriprise

May 2, 2018

Charles Gemmer, who managed $150 million with three other advisers at AXA Advisors, has affiliated with the franchise unit of Ameriprise. Joining Mr. Gemmer at Gemmer Wealth Management, based in Indianapolis, Ind., are Brent Gramman, Ronan Marra...

UBS snags Wells Fargo vet for wealth management exec role

April 24, 2018

UBS Wealth Management has recruited Heather Crist as its new chief of staff for global wealth management, according to an internal memo obtained by InvestmentNews. Ms. Crist comes from Wells Fargo Advisors, where she worked for 28 years and...

MML loses $294 million team to Ameriprise

April 19, 2018

Ryan Lambert, who heads a team that includes five other advisers and managed $294 million in assets at MML Investors Services, has joined the franchise channel of Ameriprise. The team includes advisers Cheri Amsden, Daniel Miller, James Phillips,...

The secret to a more productive advisory firm

April 9, 2018

The following is an excerpt from the new white paper, “Enhancing Productivity through Support Advisor Empowerment.” To download the full paper from Cadaret Grant, click here. While markets continue to provide a largely supportive backdrop...

Edward Jones loses $185 million team to Ameriprise

April 4, 2018

A two-person team that managed $185 million in assets at Edward Jones in Meridian, Idaho, has joined the franchise channel of Ameriprise Financial Inc. Paul Orlando and Derek Busby will operate under the name of Granite Financial Management,...

Team managing $263 million at INVEST joins Commonwealth Financial Network

April 4, 2018

Riverstone Wealth Partners, which manages $263 million, has switched affiliation from INVEST Financial to Commonwealth Financial Network. The hybrid firm is based in St. Charles and Naperville, Ill. Riverstone is led by partners Jodi Manthei,...

Merrill Edge looks to hire 300 advisers in 2018

March 29, 2018

As the large wirehouses continue to retrench and search for new ways to train financial advisers, Bank of America said Thursday it was following through on previously mentioned plans to expand its online brokerage platform, Merrill Edge. It...

Ami Forte, broker at heart of $34 million Finra award, hired by Pinnacle Investments

March 13, 2018

A broker at the heart of a multimillion-dollar Finra arbitration award involving the founder of the Home Shopping Network was hired Tuesday by Pinnacle Investments to develop its operations in Florida. Ami Forte joined the broker-dealer and...

Three indies bring $719 million to Securities America

March 7, 2018

A Super Office of Supervisory Jurisdiction and two independent financial services firms, which collectively manage $719 million in assets, have affiliated with Securities America Inc. The three are the Gandet Group, of Manahawkin, N.J.; Vizionary...

Merrill Lynch rep managing $150 million moves to Raymond James

March 6, 2018

Phil Closuit, who managed more than $150 million in assets at Merrill Lynch in Boston, has jumped to the employee unit of Raymond James & Associates. Joining him in the move is Jane Fitzwilliam, a registered associate, who has worked with Mr....

The biggest obstacles to building a billion-dollar RIA

February 1, 2018

The goal for most advisers is to increase the size of the firm, both in assets under management and the number of employees. But as the late rapper Notorious B.I.G. once said, "Mo money, mo problems." The Alliance for Registered Investment Advisors,...

Highest paying jobs at advisory firms

October 3, 2017

Independent advice firms have been a great place to work the last two years. Salaries at these businesses increased across the board, and all but one professional position saw double-digit percent increases in 2017 compared to 2015, when InvestmentNews...

Fidelity has 'real need' to recruit more women, Johnson says

September 27, 2017

For people well-schooled in the relationship between supply and demand, here's one Fidelity Investments may not have seen coming: The demand for female financial advisers outstrips the supply. Women customers often ask to work with female advisers,...

7 conferences taking advisers beyond financial services

September 11, 2017

When it comes to budgeting conference travel, financial advisers are increasingly thinking outside the box of the standard industry gatherings by venturing into areas that might seem way beyond the realm of financial services. Consider investing...

America's jobs engine keeps defying forecasts for 2017 slowdown

August 31, 2017

In an economy growing at a moderate pace at best, the U.S. job market keeps on shining. Payroll gains topped forecasts in five of the past seven months, putting the 2017 average increase of 184,000 almost on par with last year's 187,000 and...

Fired Wells Fargo broker barred by Finra

August 11, 2017

A former Wells Fargo adviser, who resigned from the firm in 2015 after allegations that she had made inaccurate statements on a "mortgage gift letter" she signed in connection with another broker's mortgage application, has been barred by Finra....

9 strategies to avoid adviser burnout

August 7, 2017

When someone has too many job demands and too few job resources, they fail to take enough time out to recharge themselves and they suffer from burnout, according to Paula Davis-Laack, a stress and resilience expert. To avoid burnout, which can...

Wells Fargo team managing $300 million moves to Raymond James

August 3, 2017

Three advisers who managed more than $300 million in assets at Wells Fargo Advisors in Rochester, N.Y., have joined the employee unit of Raymond James. Keith Bock, Mark O. Downey, II, and Jason Peterson will operate as BDP Wealth Management...

Merrill Lynch trio managing $463 million joins Ameriprise

July 20, 2017

Stan Leavitt, who managed $463 million in assets at the Roseville, Calif., office of Merrill Lynch, has joined the employee unit of Ameriprise Financial Services there with advisers David Pratt and Rachael Morton. Mr. Leavitt began his career...

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