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NEWS INDUSTRY NEWS OCT 22, 2019
Wells Fargo trio managing $225 million moves to RIA

Bratton DuBose, Daniel Bettencourt and Rebecca Damann join Ashton Thomas Private Wealth in Bozeman, Mont.

NEWS INDUSTRY NEWS OCT 22, 2019
Three Wells Fargo reps managing $150 million move to Raymond James

Roper Fields, Thomas Fields and B.V. Lawson join employee unit in Cool Springs, Tenn.

NEWS INDUSTRY NEWS OCT 21, 2019
Trio managing $380 million at Wells Fargo joins Janney

Christopher Ozazewski, Elizabeth Plunkett, Eric Decker are based in Bel Air, Md.

What executives should be doing in the wake of the Fisher fiasco
NEWS INDUSTRY NEWS OCT 19, 2019
What executives should be doing in the wake of the Fisher fiasco

Let's use this unfortunate episode as a way to make the industry a better place for all of us.

Cerulli finds only 7% of advisers at right scale to do portfolio construction themselves
NEWS INDUSTRY NEWS OCT 17, 2019
Cerulli finds only 7% of advisers at right scale to do portfolio construction themselves

Research firm says advisory firms need at least $250 million in AUM to do proper job.

NEWS INDUSTRY NEWS OCT 17, 2019
Merrill advisers managing $206 million join Raymond James

Gary Wardein and daughter, Erin Bethge, are based in Rancho Bernardo, Calif.

Hybrid duo managing $200 million switches to LPL
NEWS INDUSTRY NEWS OCT 16, 2019
Hybrid duo managing $200 million switches to LPL

Parker Inabnet and Kate Redden operate as I.M. Wealth Care through Merit Financial.

YOUR PRACTICE PRACTICE MANAGEMENT OCT 16, 2019
Skip Schweiss of TD Ameritrade elected 2020 president of FPA

Financial Planning Association also elects four new board members

Wells Fargo reps managing $280 million move to Stifel
NEWS INDUSTRY NEWS OCT 15, 2019
Wells Fargo reps managing $280 million move to Stifel

Brokers join firm in Macon, Ga., Greensboro, N.C., and Brevard, N.C.

Finra panel orders former broker to pay Raymond James almost $1 million
NEWS INDUSTRY NEWS OCT 15, 2019
Finra panel orders former broker to pay Raymond James almost $1 million

Arbitrators determine that John Charles Wyshak must pay cost of indemnifying clients.