Regional Brokerages

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  1. Articles

    Regional broker-dealers need creativity to keep up in the recruiting arms race

    With deep pockets aggressively recruiting assets tied to teams, advisers need to remember why they are paid bonuses in the first place.

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    Ex-Raymond James adviser barred over $1 million theft

    Jo Ellen Fisher, an independent contractor with Raymond James Financial Services, allegedly stole $925,000 from a 95-year-old client to fund personal expenses, Finra says.

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    Schorsch adds industry veteran Dwyer to RCAP's team

    Former executive at LPL Financial will head up firm's nontraded REIT wholesaling and distribution unit.

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    Edward Jones sponsors college-credit course to prep students for Series 7 exam

    Course will be offered to financial and nonfinancial majors to offer them a taste of the advice profession.

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    Private client group gains drive Raymond James to record quarterly profit

    Raymond James Financial continued to build on momentum as pretax profit in the private client group hit a record in the firm's third fiscal quarter, jumping 39% as profit margins reached 10%. What's CEO Paul Reilly doing right?

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    Baird snatches Wells Fargo adviser with $350M in AUM

    Robert W. Baird & Co. Inc. has added a top broker from Wells Fargo and a new director to its Houston market.Gary Foose Jr. joins the firm as a director and financial adviser in Houston with $350 million in client assets and $1 million in annual production.“Gary's a high-integrity guy. He's been in

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    Ex-Sterne Agee broker faces expulsion over $6 million hedge fund

    Finra charges broker Dean Mustaphalli opened fund and received commissions without disclosing the business to his firm. Whether Sterne Agee clients were affected remains a mystery.

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    As economy improves, veteran advisers stay put

    Strong market performance keeps most clients and advisers in place. Check out our database to see who's moving where.

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    Opinions on bull market split following most recent run-up

    After the S&P 500 reaches new heights, new questions surface on whether the market is headed up or down.

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    Indie reps happier at work than employee advisers: J.D. Power

    Independent advisers continue to be happier at work than their colleagues who are employees of broker-dealers but the gap in job satisfaction among the two groups is narrowing. See how your firm ranks

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    Sterne Agee wants to remove Holbrooks from board

    Schedules a shareholder vote, discloses ongoing investigations of former father-son executive team.

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    Sterne Agee's ousted CEO Holbrook said to face investigation

    Probe reportedly looking into misuse of company assets such as airplanes, boats, condos.

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    Are nontraded REIT commissions headed for a fall?

    New rules proposed by Finra will make fees more transparent, but could result in lower upfront commissions for brokers, Bruce Kelly reports.

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    Clintons jump through financial planning loopholes to dodge estate taxes they support

    Breakfast with Benjamin: Brokers pouncing on 401(k) biz. Plus: The Clintons dodge the estate taxes they support. The Fed wants to add exit fees to bond funds, U.S. banks on the edge of new funding rules, Congress mulls investor confidence on your dime, El-Erian sides with the IMF, and merger mania

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    Is AIG Advisor Group the next big fish Schorsch wants to land?

    Larry Roth's old firm might be the next target for Nick Schorsch's hard-charging broker-dealer, says senior columnist Bruce Kelly. Plus: See the biggest recent indie B-D M&A deals