Regional Brokerages

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  1. Articles

    At Edward Jones, it's still one person, one office

    As more and more firms push their advisers to form teams to better serve investors, one big name is bucking the trend. Edward Jones, founded in 1922 around a model of staffing one adviser per branch office, has no intention of changing its ways, according to John Rahal, a principal in charge of

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    In Puerto Rico, a good thing gone bad for UBS

    Investor claims pile up as the territory sinks in the downward spiral of a government debt crisis.

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    American Funds making inroads with fee-based advisers

    In its sales turnaround, third largest U.S. fund company relies on retention of existing advisers and lower-cost share classes.

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    Under regulatory pressure, Voya restricts sales of more variable annuities

    Voya Financial Advisors has restricted sales of variable annuities for the second time in two months, as the brokerage firm faces increased pressure from regulators questioning the suitability of the products for retirement savers.

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    Banks are cutting broker-dealer units from their 'living wills'

    Breakfast with Benjamin: The nation's biggest banks, like JPMorgan Chase, are lumping their broker-dealer units in with other 'non-essential' operations.

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    Pershing CEO: RIA growth outpacing B-Ds

    Ron DeCicco expects the RIA channel to continue growing while regulatory pressures and higher expenses weigh down broker-dealers.

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    Stifel deal for Barclays unit would amp up ambitions to attract elite advisers

    An acquisition of Barclays' U.S. wealth unit would add $47 billion in assets and 249 advisers who focus on ultrahigh-net-worth clients, filling a gap in Stifel Financial CEO Ron Kruszewski's advisory business.

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    Raymond James bolsters indexed annuities and life wholesaling with acquisition

    Deal with insurance marketer Producers Choice is expected to give the broker-dealer greater control over the way annuities are wholesaled to its advisers.

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    From the C Suite with Raymond James' CEO Paul Reilly: Listen and learn. But in a crunch, be decisive

    Exec honed his listening and peacemaking skills growing up as the third of eight children and those talents have come in handy.

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    The latest ranking of independent broker-dealers by rep head count

    Even if recruiting at independent broker-dealers has hit a wall, the industry still features a number of firms with expanding numbers of registered reps.

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    Largest independent broker-dealers enjoy double-digit revenue growth

    Despite lackluster sales of commission-rich products, 2014 revenues grew in line with the broad market. What does 2015 have in store? (Plus: Our full Top Independent B-Ds of 2015 special report)

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    LPL Financial's Dan Arnold is managing amid complexity

    Robert Moore's successor as LPL president talks about his earlier career and the challenges facing the independent broker-dealer industry

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    Stifel's purchase of Sterne Agee likely not its last in the broker-dealer space

    The acquisition signals Stifel's interest in growing its wealth management business, though future deals depend on what's available — and at what price, according to CEO Ron Kruszewski.

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    Merrill Lynch's John Thiel urges colleagues to work with DOL on fiduciary rule

    At least one major industry player is taking a more welcoming stance toward working with the Labor Department as it seeks to create a rule that would hold brokers to a fiduciary standard when dealing with retirement plans.

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    Investors see few benefits of lower fees in adviser-sold investments

    Managed accounts sold by advisers deflect trend toward lower-fee money management as brokers work to maintain profits: Cerulli.