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CEO James Gorman says the acquisition advances the wirehouse's 'transformation’ by adding fee-based business.
Check out what the firms that made the Best Places to Work list this year are doing to make employees happy.
PBS Wealth Group is located in Newport Beach, California.
Employees and principals of its partner firms will receive the sale proceeds.
Finra will not require the documentation normally needed to obtain a testing accommodation. That will allow candidates to opt for an online exam if they’re reluctant to go to a test center.
As its wealthiest clients fly south, the wirehouse plans to double the number of teams catering to ultra-high-net-worth individuals in the Sunshine State over the next few years.
Privately held companies using law firm Wilson Sonsini's capitalization software will migrate to Morgan Stanley's Shareworks.
The pair of advisers in Denver marks the registered investment advisory firm’s first foray into Colorado.
Richard Pakes starts CVG Wealth Management in Santa Barbara, California
The broker transferred funds from the investment account of a couple whose portfolio he managed directly into bank accounts he controlled, according to the Department of Justice.
A group with seven advisers in West Virginia and a solo adviser in Ohio switch affiliations.
Foran Financial Group of Somerville, New Jersey, is rejoining the independent broker-dealer after spending six years at Raymond James.
Client appreciation dinners are all well and good, but private suites at Madison Square Garden are clearly beyond the pale.
'Your Greatness Is Our Goal' is the independent broker-dealer's new theme, referring to the value it brings to its advisers.
Fed officials reportedly privately signaled the bank that they accept its proposal for overhauling risk management and governance, which would move Wells a step closer to getting the cap on its assets lifted.
Member firms and trade associations representing them told Finra their pandemic experience has shown that supervisors don’t need to look over the shoulders of registered reps physically to ensure they’re following the rules.
The WillowPointe Group, a two-adviser, five-person team, joins in Cookeville, Tennessee.
For independent advisory firms and advisers, the Biden administration’s approach to regulation will be among the most consequential outcomes of the November elections.
Its new effort, called M&A Solutions, includes ‘strategic support’ and online tools to help advisers considering a transaction.
The group of five advisers, which was with J.P. Morgan for nine years, will join UBS' Century City office in Los Angeles.
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