Advisor Moves

Displaying 790 results
Billion-dollar trio at Wells Fargo moves to Ashton Thomas
NEWS RIAS NOV 05, 2021
Billion-dollar trio at Wells Fargo moves to Ashton Thomas

The three advisers will open the firm’s third Montana office in Helena.

By InvestmentNews
LPL snags $350 million Cetera team
NEWS BROKER DEALERS NOV 03, 2021
LPL snags $350 million Cetera team

Ohio-based River Cities Financial Services is led by Michael Anthony.

By Bruce Kelly
Merrill Lynch duo managing $216 million joins Raymond James
NEWS WIREHOUSES OCT 29, 2021
Merrill Lynch duo managing $216 million joins Raymond James

Gus Fingado and Matthew Walter are joining the firm's employee unit in Manalapan, New Jersey.

By InvestmentNews
Merrill Lynch trio managing $565 million moves to RBC
NEWS WIREHOUSES OCT 28, 2021
Merrill Lynch trio managing $565 million moves to RBC

Mark Johnson, Bart McNabb and Adam Johnson based in Wayzata, Minnesota.

By InvestmentNews
UBS rep managing $265 million joins LPL
NEWS BROKER DEALERS OCT 25, 2021
UBS rep managing $265 million joins LPL

David Winchell is setting up his own firm, Winchell Financial Group, in Las Vegas.

By InvestmentNews
RBC lands Merrill Lynch rep managing $800 million
NEWS ADVISOR MOVES OCT 22, 2021
RBC lands Merrill Lynch rep managing $800 million

Stephen P. McGovern, who joined Merrill in 2009, makes the move in Stuart, Florida.

By InvestmentNews
Merrill Lynch trio managing $890 million moves to UBS
NEWS WIREHOUSES OCT 22, 2021
Merrill Lynch trio managing $890 million moves to UBS

The veteran advisers and three associates make the switch in midtown Manhattan

By InvestmentNews
Team managing $250 million leaves Ameriprise for LPL
NEWS BROKER DEALERS OCT 20, 2021
Team managing $250 million leaves Ameriprise for LPL

The father-and-son Riolo Financial Group is based in New City, New York.

By InvestmentNews
Merrill Lynch adviser managing $150 million opts for LPL
NEWS ADVISOR MOVES OCT 18, 2021
Merrill Lynch adviser managing $150 million opts for LPL

Peter Shunyia in Troy, Michigan, has affiliated through a super office of supervisory jurisdiction.

By InvestmentNews
The 6 smart questions you should ask recruiters before switching broker-dealers
NEWS OPINION OCT 29, 2015
The 6 smart questions you should ask recruiters before switching broker-dealers

It's a familiar scenario. After months (and in some cases years) of contemplation, research and discussions, an adviser has finally decided to switch firms. The adviser is ready to engage with the prospective firms and their recruiters. Now what?

By Tom Daley