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InvestmentNews
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Advisor Group goes virtual with annual broker event
NEWS BROKER DEALERS AUG 20, 2020
Advisor Group goes virtual with annual broker event

Entertainment will play big part in the firm’s ConnectEd conference

Her Success Matters: Renée Baker
YOUR PRACTICE PRACTICE MANAGEMENT AUG 18, 2020
Her Success Matters: Renée Baker

The head of PCG Advisor Inclusion Networks at Raymond James describes her experience with diversity and inclusion in the workplace

THE INVESTMENTNEWS PODCAST AUG 17, 2020
Sell baby sell! Merrill Lynch pulls the reins in on trainee program

This week’s episode kicks off with a look at Merrill Lynch’s headache trying to manage broker trainees who are learning to cold call from home. Hosts Jeff Benjamin and Bruce Kelly also discuss how Morgan Stanley will absorb the ETrade custody business, the realities of buffered ETFs, the driving force behind RIA consolidation, and the incredible access to industry execs in the age of Covid.

Hybrid managing $300 million joins LPL from KMS
NEWS BROKER DEALERS AUG 17, 2020
Hybrid managing $300 million joins LPL from KMS

Stabler Wealth Management is based in Bellevue, Washington

ESG funds outperformed through pandemic, S&P finds
INVESTING ESG AUG 14, 2020
ESG funds outperformed through pandemic, S&P finds

Since May, 14 ESG ETFs and mutual funds have pushed ahead of the S&P 500

LPL's Andy Kalbaugh to retire in early 2021
NEWS BROKER DEALERS AUG 14, 2020
LPL's Andy Kalbaugh to retire in early 2021

The executive has led the firm's national sales and consulting

Securities America team managing $800 million moves to LPL
NEWS BROKER DEALERS AUG 13, 2020
Securities America team managing $800 million moves to LPL

Equitrust Financial Group has five advisers and is based in Deerfield, Illinois

Merrill puts trainees’ sales efforts on hold
YOUR PRACTICE PRACTICE MANAGEMENT AUG 12, 2020
Merrill puts trainees’ sales efforts on hold

Calls by adviser newbies were violating compliance rules, report says

Three UBS advisers managing $1 billion move to Stifel
NEWS BROKER DEALERS AUG 12, 2020
Three UBS advisers managing $1 billion move to Stifel

The team of Gary Bice and Michael Leach and a solo adviser, John Prebay, join in Southfield, Michigan

SEC charges head of defunct California RIA with fraud
NEWS RIAS AUG 12, 2020
SEC charges head of defunct California RIA with fraud

The agency says Brendan Ross manipulated data to show higher fund returns