This year, independent broker-dealers will be watching such trends as merger madness, competitive recruiting costs and the arrival of Reg BI
Group says Reg BI enforcement probably won’t draw same criticism as share-class crackdown
Everyone is up for sale at the right price – and private equity is buying
Randy Seymour will open an office for the firm in Ebensburg, Pa.
Paul Reilly touts the new highs the firm hit in client assets and number of advisers
James Ducharme, Michael Rowland join firm’s employee unit in Melbourne, Florida
At $4.4 billion, its financial advice business is small compared to brokerage giants
Expert: Interest rate discussions with clients ‘can be problematic’
Suarez succeeds firm founder Rob Clarfeld, who becomes executive chairman
Citi, Bank of America and Morgan Stanley are among the firms beefing up their wealth management efforts in Northern California
Daniel Kaschmitter and William Gelegotis are joining the employee unit in Salt Lake City
The firm is hoping to make it easier for brokers to embrace financial planning
Anthony Rochte will take over as head of GS Select
The financial advice industry is priming the pump to increase sales of high-commission products
Site to weed through Finra and SEC regulatory disciplinary data.
Christopher Stanford and Matthew Douglas are joining the employee unit
But they will see extras in services, including trusts and insurance marketing, says Advisor Group CEO Jamie Price
The combined companies will be home to nine broker-dealers, over $450 billion in assets and nearly 11,500 advisers.
But the network's 4,400 financial advisers are in the dark about the details
Sigma Planning failed to disclose conflicts related to 12b-1 fees: SEC.
