Broker-Dealers

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UBS Has Better Business Mix Than Morgan Stanley, JPMorgan Says

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This Swiss bank is vying for primacy in global wealth management.

Diversity Should Still Be A Hiring Goal, Financial Execs Say

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A panel of financial industry professionals said advisors need to get out of their comfort zone when hiring.

UBS CEO Says Catch-Up On U.S. Wealth Market Will Take Time

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The Zurich-based bank has signaled that the U.S. will be a major plank of its growth strategy.

Raymond James Hires 10 From Citi's Closing Muni-Bond Group

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Raymond James has been on a hiring spree for its public finance division for years.

Is The End Near At The Wirehouses?

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The headlines, reports and data all seem to indicate that the model is tagged for extinction. But is that really the case?

RIAs Can't Explain How Their AI Works, SEC Official Says

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Even AI engineers have a problem conveying how the technology works, the regulator said.

FSI Sues DOL To Toss New Independent Contractor Rule

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A trade group coalition wants to restore a rule implemented in 2021.

Finra Bars Ex-Edward Jones Rep For Ducking Testimony

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Reuben L. Brown of Texas refused to appear over allegations he invested client money outside the firm.

Schwab Execs Say This Election Year Will Be 'Crazy Time' For Investors

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Advisors need to guard against emotional decisions by clients, they said.

Pershing Adds Ashton Thomas Securities For Clearning And Custody

by FA Staff

The agreement gives Ashton Thomas Securities advisors more capabilities, BNY Mellon's Pershing said.

Osaic Nabs Sturkie Wealth from LPL Financial

by FA Staff

The Lexington, S.C.-based firm brings $240 million in client assets to Osaic.

Wellington Alts Exec Joins Rockefeller As Head Of Investment, Client Solutions

by FA Staff

Christopher Kirk previously spent two decades at Wellington Management.

Senate Bill Would Make Digital Financial Document Delivery The Default

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Schwab, Fidelity and financial industry trade groups said the move is long overdue.

RBC Adopts TIFIN AI Wealth Management Tool

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The AI program gives advisors clues to client financial events, TIFIN said.

LPL Adds PNC Private Bank Team With $515M AUM

by FA Staff

Endeavor Wealth Strategies of Fort Wayne, Ind., has aligned with LPL affiliate Exemplar Financial Network.

Biden DOL Nominee Is Headed For A Senate Vote (Again)

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Julie Su's work to limit independent contractors has drawn criticism from advisor groups.

LPL Expands Advisor High-Net-Worth Services

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The broker has also dropped a $5 million account minimum that was tied to the program.

State Securities Regulators Collected $1B From Enforcement Actions In 2022

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State regulators filed three times the enforcement actions against RIAs as brokers, NASAA reported.

Ex-Merrill Lynch Lifers With $1B In AUM Join LPL Strategic Wealth In Pa.

by FA Staff

Continuity Private Wealth is led by James Debuque and Timothy M. Baltz, who have been partners for nearly 15 years.

Hightower Sued By Advisor Over Non-Compete Clause

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The former Hightower advisor argues that the clause is "illegal" and "unenforceable."

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