A duo from LPL and two Wells Fargo reps are affiliating with the firm’s independent unit.
Humanity Wealth Advisors sets up shop in California’s Bay Area.
Finra found that for 17 years, the firm failed to store 13 million customer records in the required format.
The bank has launched a number of new credit cards this year, including a low-interest-rate card, and plans a rewards-card line next year.
A group of advisers based in Miami are moving to the Raymond James unit.
The Clauss & Ellison Group, a three-person team from Merrill Lynch, is joining the firm’s employee adviser channel.
The former president of Morgan Stanley will stand for election to succeed Axel Weber at the Swiss bank's annual meeting in April.
The firm is announcing an initiative, the Equity Collective, in which wealth and asset management firms commit to working with career-focused community organizations to reach young people from more diverse backgrounds.
The prevailing trend of advisers going independent has only gathered steam, according to third-quarter Advisers on the Move data.
Two advisers from Truist and a trio from Merrill Lynch are moving to the firm's employee channel.
Francine Payson and Tarek Salhab are joining the firm's employee unit in Fort Myers, Florida.
The three advisers will open the firm’s third Montana office in Helena.
The common theme advisers share is that despite this effort, the firm's leadership is still quite disconnected from their real concerns.
Gus Fingado and Matthew Walter are joining the firm's employee unit in Manalapan, New Jersey.
Mark Johnson, Bart McNabb and Adam Johnson based in Wayzata, Minnesota.
The wirehouse is tweaking how it calculates advisers' payouts.
Meanwhile, the investment bank announced plans to launch a digital wealth manager in the U.S. next year targeting affluent clientele.
The bank is responding to internal wrangling about how the profits from the unit that deals with some of its richest clients are shared between its wealth management and investment management businesses.
The new service, scheduled to begin sometime next year, will service customers with between $250,000 and $2 million in assets, a group that UBS hasn't previously targeted in a meaningful way.
David Winchell is setting up his own firm, Winchell Financial Group, in Las Vegas.
