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Like their clients, advisers and registered representatives are getting older and often worry about their futures.
With the specter of millionare clients’ assets slipping through its fingers in a hot rollover market, Fidelity Investments is placing its high-net-worth strategy squarely on the shoulders of registered investment advisers.
One of the founders of Financial Network Investment Corp., the largest independent-contractor broker-dealer in the ING Advisors Network Inc., walked out the door last month and joined NFP Securities Inc., leaving some observers to wonder how many registered representatives affiliated with FNIC eventually could follow.
In an effort to prevent top brokers from bolting, wirehouses quietly are backing down from their tough stance against allowing advisers to act as fiduciaries to employee retirement plans.
Merrill Lynch & Co. Inc. continues to lead the wirehouse race for net new client assets.
IRVINE, Calif. — Wachovia Securities LLC of Richmond, Va., is expected to roll out in coming weeks a significant new incentive program.
Three executives of National Planning Corp., Sean Haley, Bryan Jacobsen and Austin Moon, have received promotions.
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