Regional Brokerages
Displaying 205 results
Mom-and-pop investors tilt bearish despite all-time high stock prices
July 26, 2019
More people say they are pessimistic than optimistic on shares according to weekly survey.
Raymond James, Ameriprise add advisers in Q2, as two wirehouses shed them
July 25, 2019
Both firms on receiving end of steady drip of advisers leaving Wall Street.
Finra reminds brokerages of a client’s right to a straight answer
April 20, 2019
It's all about transparency: New guidance could help brokers on the move retain loyal clients.
Regional firms provide an alternative to wirehouses
March 27, 2019
As big brokerages lose their competitive edge, regionals are offering a home to advisers who want to stay in the employee channel.
Hundreds of advisers with tens of billions in assets left Wall Street in 2018
February 6, 2019
Wirehouses continued to lose advisers last year, although at a slower pace.
Finra makes it harder for brokers to expunge tainted records
December 24, 2018
Latest rule tells arbitrators that expungement should be a 'rare remedy.'
Baird lands $228 million team from Oppenheimer
December 5, 2018
Richard Fisher and Dan Sullivan have joined the firm as senior vice presidents and financial advisers. Together, they generate more than $1 million in annual revenue.
Baird and Hilliard Lyons, two established regional firms, to merge
November 27, 2018
Combined, the new firm will have 1,270 advisers and $260 billion in assets.
More reps bolt from Waddell & Reed, including some it would have liked to have kept
October 31, 2018
The broker-dealer lost 56 brokers and advisers in the third quarter, and not all of them low-producers the firm wants to shed.
Stifel, First Republic post top recruiting gains in Q3, as wirehouses continue to lose brokers
October 23, 2018
Overall, broker and adviser movement slowed during the quarter, with 101 teams shifting firms compared to 124 at this time last year.
