Displaying 446 results
LPL to acquire $1.5 billion Lucia Securities
The IBD will add the San Diego firm's 20 advisers via the purchase
Indie managing $415 million moves to Raymond James from LPL
Elite Financial Management’s Bill Dendy and three reps switch firms in Dallas
Team managing $350 million at Ameriprise switches to Raymond James
Caliber, based in Overland Park, Kansas, has seven advisers and a staff of six
Court denies Raymond James’ motion to vacate $1.8 million arbitration award
Efforts to upend arbitration decisions were criticized by claimants' attorneys
Merrill duo managing $900 million goes indie with Raymond James
Neil Goetzman and Jeffrey Nau set up eponymous business in Alexandria, Va.
Wells Fargo duo managing $200 million goes indie through Raymond James
Mark Killingsworth and Stephen Vessey set up shop in Beaver Dam, Wisc.
Raymond James nabs team managing $640 million
The four-adviser group is leaving Northwestern Mutual Co.
LPL snags team managing $610 million from Raymond James
The move marks at least the second adviser to switch from Raymond James to LPL in as many months
Merrill adviser managing $190 million moves to Raymond James
Michael Borza is joining the employee unit in Virginia Beach, Va.
Raymond James launches WealthMAP to help attract and retain new financial advisers
The two-year program will help those interested in advice earn Series 7 and Series 66 licensing while learning financial planning skills
Raymond James to make a run at advisers who custody with TD
Schwab’s Bernie Clark says the company expects to face “fierce competition” for small advisers
Team managing $385 million switches to LPL from Raymond James
Jim and Andrew Wallisch change affiliations of Fox Chapel, Pa.-based firm
Trio managing $645 million at Wells Fargo moves to Raymond James
Jule Eldridge, Jason Newton and Robb Sasser are joining an employee unit in Florence, S.C.
A new playbook for independent broker-dealer M&A
Everyone is up for sale at the right price – and private equity is buying
Raymond James’ CEO takes a victory lap
Paul Reilly touts the new highs the firm hit in client assets and number of advisers
Duo managing $194 million moves from UBS to Raymond James
James Ducharme, Michael Rowland join firm’s employee unit in Melbourne, Florida
Wells Fargo team with $800 million moves to Raymond James
Daniel Kaschmitter and William Gelegotis are joining the employee unit in Salt Lake City
Advice-sector coalition seeks legislation to expand pass-through deduction to advisers
Brokerage firms and broker and adviser associations ask lawmakers for ‘clarifying legislation’
Merrill Lynch duo managing $270 million moves to Raymond James
Christopher Stanford and Matthew Douglas are joining the employee unit
Duo managing $330 million moves to Raymond James from Wells Fargo
Todd Hamilton and Robert Thompson join firm's employee unit in Chicago.
