Displaying 15 results
Jay Clayton’s legacy at the SEC: productive or partisan?
As he heads for the door, the SEC chairman presided over a record 65 final rulemakings at the agency
Morgan Stanley duo managing $2 billion go indie with LPL
John Gallagher and Mark Levin have opened an office in Marlton, New Jersey
Securities America loses top executive to Carson Group
The departure of Kevin Miller, formerly executive vice president, adds to a growing list of high-level employees to leave the firm in recent months
Merrill team with $1.4 billion joins RBC
Boca Raton, Florida-based Glasband Stempel Wealth Management includes five advisers
Ascensus TPA president leaves company
Jerry Bramlett helped build FuturePlan into the country’s largest third-party administrator, according to the firm
LPL’s Andy Kalbaugh to retire in early 2021
The executive has led the firm's national sales and consulting
Schechter names new COO
Alfredo Risi has been named chief operating officer at the Birmingham, Michigan-based boutique wealth advisory firm
Finra adds human resources officer
Rainia Washington becomes the lone African-American executive at the regulator
Schadle steps down as FPA CEO
Before becoming chief executive, Schadle served various leadership roles at the association for more than 20 years
Indie managing $415 million moves to Raymond James from LPL
Elite Financial Management’s Bill Dendy and three reps switch firms in Dallas
UBS team managing $325 million joins Kestra
Sean Russell and Philip Giammarino move to Coastline Wealth Management
Envestnet names William Crager CEO
The former president had been serving as interim leader since October
Advisers managing $386 million move to Wells Fargo
Jesse Rodriquez moves over from UBS, while R Carson leaves Edward Jones. Both join Wells Fargo Advisors Financial Network
Raymond James nabs team managing $640 million
The four-adviser group is leaving Northwestern Mutual Co.
Mark Tibergien retiring from Pershing’s RIA custody business
Pershing's custody assets grew from $50 billion in 2010 to $822 billion at the end of last year
