Financial Advisor Blog - Page 80 - Financial Advisor Transitions

Merrill Lynch Resumes Aggressive Recruiting of Veteran Advisors To Comba...

October 7th, 2022

After five years of avoiding hiring veteran advisors, Merrill Lynch has sweetened its offers for experienced advisors to as much as 325 percent of ...

SEC Sues Former Advisor Who Sold Practice to Fraudulent RIA

October 6th, 2022

The Securities and Exchange Commission (SEC) brought civil charges against a former advisor who sold his practice to an alleged fraudster in Jackso...

Advisors From Merrill Lynch and Morgan Stanley Join UBS

October 5th, 2022

UBS Wealth Management USA has successfully recruited a group of teams managing around $2.4 billion in combined assets at rival wirehouses.

How Watches Reveal Key Qualities in Broker-Dealers

October 4th, 2022

Watches and broker-dealers? Jon Henschen of Henschen & Associates, LLC matched up his love for watches with four of his broker-dealer clients.

LPL Promotes How It Helps Advisors Build The Perfect Practice

October 3rd, 2022

LPL Financial is inviting advisors to explore how they can build and grow the perfect practice.

Fundraising for Non-Traded Alternative Investments Expected to Increase

September 30th, 2022

Sales of non-traded alternative investments have totaled $77.1 billion annually through August 2022.

Texas State Comptroller Blocks UBS Municipal Bond Deal

September 29th, 2022

UBS' municipal-underwriting subsidiary has lost out on a Texas bond deal after the state comptroller included UBS Financial Services on a list of f...

Financial Service Firms Enact Evacuation Plans In Preparation for Hurric...

September 28th, 2022

Several financial services firms based in Florida have closed their doors in preparation for Hurricane Ian.

Recruiting Bonuses Near 400% for Top Producers

September 27th, 2022

Aggressive recruiting has returned. Now more than ever, firms across the country are competing for experienced producers and are using bonuses to b...

NASAA Approves New Model Rules to Facilitate Advisors' Return to Industry

September 26th, 2022

The North American Securities Administrators Association (NASAA) has approved two model rules allowing advisors to maintain their licenses when the...