The Client: Client retention
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April 23, 2019LPL Financial Is Looking to Lure RIAsRich Steinmeier says RIAs and hybrid RIAs are “an area of of emphasis” for the firm.No Comments
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April 22, 2019Wilmington Trust Nabs Client Advisors from First Citizens Bank and Franklin TempletonAnd Bank of the West loses client advisor to Union Bank.No Comments
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April 18, 2019These 400 Broker-Dealers Made the Financial Times 2019 List of Top AdvisorsManaging client relationships is becoming more important to the group.No Comments
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April 18, 2019SEC Warns of Key Risks for Client Privacy and Data SecurityThe regulator’s examiners found various instances of inadequate safeguards and missing polices and procedures.No Comments
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April 18, 2019Mariner Wealth Acquires $1.3 Billion Practice in FloridaSinger Xenos Schechter Sosler marks Mariner’s sixth acquisition this year.No Comments
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April 18, 2019UBS Reps in Dallas Go IndieWealth Partners Alliance has registered with Raymond James Financial Services' independent channel.No Comments
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April 17, 2019Morgan Stanley Pins Hopes on Changing Judge's Mind in Texas Defection FightThe wirehouse says it's a case of "egregious employee disloyalty, breach of contract, unfair competition, and misappropriation of confidential information ..."No Comments
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April 17, 2019Merrill Lynch Loses Another FA to This RivalThe rep has joined Raymond James & Associates.No Comments
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April 17, 2019Why Merrill Lynch is Now the Belle of BoA's BallThe unit’s net income increased to $1 billion by 14% last quarter.No Comments
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April 16, 2019UBS and Oppenheimer Lose Reps to this RivalThe new recruits collectively managed $373 million.No Comments
