Regional Brokerages

Displaying 222 results

Topic

As in-person conferences restart, attendees want one thing above all else

New report shows financial adviser conference attendees are less impressed with sponsor status than they are with solid content from those sponsors.

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Ex-Cetera broker sentenced to 5 years in prison for fraud

The broker David A. Rockwell defrauded a bank when he applied for lines of credit in the names of two clients

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$220 million Baird team moves to Raymond James

A father-and-son duo in Sarasota, Florida joins the firm’s employee channel.

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Why Michael Bolton is crooning over online brokerages

The advertisement is just the latest ploy in an industry war over the throngs of retail investors flocking to digital wealth platforms. The new account openings will certainly have repercussions.

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Advisor Group firms boost legal reserves

Royal Alliance Associates Inc., SagePoint Financial Inc., and FSC Securities Corp., increased legal reserves by as much as three times the amount of the prior year.

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Raymond James cutting 500 jobs

The layoffs focus on support staff and will not include financial advisers among the cuts

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Hybrid managing $250 million goes to LPL from Waddell

JTL Wealth Partners, based in Plano, Texas, has national ambitions

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Social distancing weighs on advice business: Survey

Prospecting is now more difficult, and advisers said they are less effective at selling products, a report from Limra and others shows

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Stifel snags $935 million adviser team from Merrill Lynch

The four-person adviser team marks the third to transition away from the wirehouse in favor of the independent platform this year

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Clients don’t grasp fees, and that’s bad for business

Not knowing how their advisers are compensated affects clients' trust, according to a Hearts & Wallets report

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Edward Jones asks advisers to halt face-to-face meetings with clients

The firm is one of many in the brokerage industry making changes to work policies in response to the coronavirus

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Raymond James nabs team managing $640 million

The four-adviser group is leaving Northwestern Mutual Co.

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Financial advisers continued to bolt from Wall Street in 2019

Independent broker-dealers and RIAs scored sizable net gains of advisers at Wall Street's expense

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Raymond James’ CEO takes a victory lap

Paul Reilly touts the new highs the firm hit in client assets and number of advisers

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Goldman Sachs issues its first wealth management revenue total

At $4.4 billion, its financial advice business is small compared to brokerage giants

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Rick Suarez to head $7.5 billion Clarfeld/Citizens Private Wealth

Suarez succeeds firm founder Rob Clarfeld, who becomes executive chairman

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It’s 2020, and the chase for big commissions is back

The financial advice industry is priming the pump to increase sales of high-commission products

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Mom-and-pop investors tilt bearish despite all-time high stock prices

More people say they are pessimistic than optimistic on shares according to weekly survey.

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Raymond James, Ameriprise add advisers in Q2, as two wirehouses shed them

Both firms on receiving end of steady drip of advisers leaving Wall Street.

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Finra reminds brokerages of a client’s right to a straight answer

It's all about transparency: New guidance could help brokers on the move retain loyal clients.