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  1. Articles

    Is it time to jump into energy stocks?

    Breakfast with Benjamin: If 13 weeks of falling energy-stock prices has you looking for an entry point, hold your fire: The sector is still very pricey.

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    Cetera closing J.P. Turner, offering some brokers jobs at Summit

    CEO Larry Roth claims the move is not part of any widespread consolidation within RCAP's retail brokerage division.

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    Merrill Lynch nabs $1.3 billion UBS team

    Bank of America Merrill Lynch has picked up another UBS team, this time a four-person Houston-based group that manages $1.3 billion in client assets. Adviser Will Leven is bringing analysts Alora Anderson and Anthony Hoff with him, as well as client associate Ashlee Kegler. They will report to Bob

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    Morgan Stanley head count dips to record low

    Largest firm by number of advisers cedes ground with 3% one-year drop; executives point to shedding of lower producers.

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    AdvisorSpoke's 'Clark Kent' to the rescue

    New blog adopts Superman's alter ego as its anonymous author; aims barbs at popular gossip site AdvisorHub.

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    Merrill sacrifices productivity for head count growth

    Bank of America CEO Brian Moynihan warned that adviser productivity and profit margins at Merrill may continue to fall as the firm sacrifices short-term profitability for long-term growth.

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    Securities America snags $800 million firm from LPL

    Securities America Inc., a subsidiary of Ladenburg Thalmann Financial Services Inc. with more than 2,000 advisers, has picked up an $800 million registered investment adviser formerly associated with LPL Financial Inc. The firm, BEAM Asset Management, has around 32 advisers and brought in $6.5

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    Wells Fargo nets $425 million Morgan Stanley adviser

    Richard J. Bernstein managed $425 million in client assets at Morgan Stanley, where he had worked since 2009.

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    Raymond James' Elwyn downplays acquisitions

    Brokerage isn't plotting its own big buys despite moves by competitors, says president of the firm's employee-adviser channel.

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    Wirehouses open doors to advisers who left

    As headcount continues to decline and competition for assets of veteran advisers grows, wirehouses are more comfortable extending bonuses and employment offers to what was once considered an off-limits group: advisers who had left the firm to join a competitor.

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    Barclays brokers sniff at Stifel, jump to Merrill

    Fifteen Barclays advisers have joined Merrill Lynch in the wake of news that Stifel Financial had agreed to buy their unit.

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    Deutsche team with $3.2 billion in assets forms RIA

    Advisers David La Placa (pictured) and Jay Casey, founded Intellectus Partners after managing some $3.2 billion at Deutsche Bank. They've jumped ship to start their own firm.

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    RBC Wealth Management grabs $1.2B team from Merrill Lynch

    The hires are part of the firm's broader plans to seek out high-quality financial advisers.

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    A sure-fire approach to get employees to stay

    Mark Johannessen says firms need to help each staff member grow and feel respected as a professional. Here's how he does it.

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    United Capital picks up StanCorp group with $574 million

    After acquiring several investment advisers over the past decade, Stancorp decided to sell its private client group.