Independent Broker Dealers

Displaying 1330 results

Topic

Duo managing $194 million moves from UBS to Raymond James

James Ducharme, Michael Rowland join firm’s employee unit in Melbourne, Florida

Topic

Commonwealth adviser arrested in child prostitution sting operation

Nathan Duane Oeming allegedly responded to an ad posted by a detective posing as a 15-year-old girl

Topic

Finra probes brokerage bank sweep accounts as commissions dwindle

Expert: Interest rate discussions with clients ‘can be problematic’

Topic

Wall Street targets Silicon Valley rich

Citi, Bank of America and Morgan Stanley are among the firms beefing up their wealth management efforts in Northern California

Topic

Wells Fargo team with $800 million moves to Raymond James

Daniel Kaschmitter and William Gelegotis are joining the employee unit in Salt Lake City

Topic

LPL integrates Envestnet MoneyGuide with ClientWorks

The firm is hoping to make it easier for brokers to embrace financial planning

Topic

Goldman taps former Fidelity exec to grow lending service for RIAs

Anthony Rochte will take over as head of GS Select

Topic

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

Topic

Fiduciary advocate launches website to identify ‘trusted’ advisers

Site to weed through Finra and SEC regulatory disciplinary data

Topic

Merrill Lynch duo managing $270 million moves to Raymond James

Christopher Stanford and Matthew Douglas are joining the employee unit

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