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On Wall Street January 1, 2009	Who's News Staffing announcements from wirehouses, regionals and private banks from the January 2009 issue.
Registered Rep. September 1, 2004	Comings & Goings Smith Barney has promoted Bob Matthews to director of wealth management ... Independent Dallas-based True North Advisors has added Brett Anderson to its team... etc.
Registered Rep. December 1, 2002 Ross Tucker	Happy Holidays! You're Fired. The ax will fall at year's end for some 700 of 13,500 Morgan Stanley brokers. Some branches will be closed entirely.
Registered Rep. March 1, 2003 David A. Gaffen	Wach-Pru: Rock Steady, or Not Ready? Wachovia's courtship of Prudential Securities, for months one of the worst kept secrets on the Street, has come to fruition. Is the new organization capable of competing in the elite league it has entered?
Registered Rep. July 19, 2004 David A. Gaffen	Several Large Producers Leave Smith Barney Smith Barney has been hit with a few high-profile defections in the last month or so, as several large producers have taken their lucrative businesses to other firms.
Registered Rep. November 1, 2004 John Churchill	Shaky Third Quarter Gives Advisors Pause The last quarter hasn't been great for retail brokerages. Low trading activity and geopolitical uncertainty kept investors on the sidelines, and advisors are feeling the pinch.
Registered Rep. March 1, 2006	Comings & Goings Amy Butte resigned as CFO and executive vice president of the New York Stock Exchange... Wachovia Corporation's Chief Financial Officer Bob Kelly said he is stepping down... etc.
On Wall Street December 1, 2008	Who's News Staffing announcements from wirehouses and regionals from the December 2008 issue.
Registered Rep. September 13, 2006 Halah Touryalai	Morgan Joins Inter-Brokerage TRO Pact This firm has officially opted to join the inter-brokerage pact, which stipulates that members will not sue brokers departing to other firms when they try to take their clients with them -- as long as they are moving to another firm named in the pact.
Registered Rep. October 1, 2006 Halah Touryalai	Morgan Joins TRO Pact Morgan Stanley has officially opted to join the inter-brokerage pact, first created in the fall of 2004, which stipulates that members will not sue brokers departing to other firms when they try to take their clients with them.
Registered Rep. May 1, 2005	Comings & Goings Roland Pritchett, one of Morgan Stanley's top producers... H&R Block Financial Advisors has added two more names... Ned Kennedy left Banc of America Securities... Lincoln Financial Distributors has hired two new divisional sales managers... etc.
On Wall Street July 1, 2011	Who's News UBS Wealth Management Americas hired a two-member Bank of America Merrill Lynch team... HighTower Advisors hired a three-member Morgan Stanley Smith Barney team... etc.
Registered Rep. February 1, 2006 Kevin Burke	Hired and Fired Up The biggest brokerage businesses are showing that even in a modest market upswing they now have in place a strategy for delivering stronger and steadier sales and earnings growth.
Registered Rep. February 1, 2005	By the Numbers Top 10 Broker/Dealers, by Advisor Headcount: Merrill Lynch... Wachovia... Smith Barney... Morgan Stanley... etc.
Registered Rep. March 1, 2005	Comings & Goings Morgan Stanley made several key additions last month... A top producer, Bryan Strachan, left Merrill Lynch to join Smith Barney in its Boston office... On the wholesaling front, Paul Schieber was promoted to director of internal wholesaling at... etc.
Registered Rep. May 1, 2004	Comings & Goings Wachovia has a new regional president of its northeast region... Kevin Rowell has joined the hard-coming Schwab Institutional group as executive vice president of sales... etc.
On Wall Street August 1, 2012	Who's News: Recent Hirings Stifel Nicolaus has hired Richard Ward in Irvine, Calif... Wells Fargo Advisors nabbed five new advisors with $849 million in client assets... Raymond James' employee broker-dealer arm, Raymond James & Associates, has hired Tom Ford and Jeff Jones in Peoria, Ill., from Morgan Stanley Smith Barney...
Registered Rep. August 1, 2004	Comings & Goings Sam Vetas, one of Morgan Stanley's top producers has moved... Joe Biondo Sr. recently went independent from Smith Barney... Former Registered Rep. columnist Harry Pappas has switched firms... etc.
On Wall Street October 1, 2011	Who's News Bank of America Merrill Lynch hired Wells Fargo advisor Adam Gurien... Morgan Stanley Smith Barney has hired a team of Wells Fargo Advisors...Raymond James & Associates hires three advisors in Hingham, Mass... more...
Registered Rep. April 5, 2006 John Churchill	UBS Wins Prominent Black Rep From Smith Barney In what can be considered a coup of sorts for the firm, UBS hired a prominent black Smith Barney broker this past winter -- while it was under fire from a lawsuit brought by former brokers alleging a pattern and practice of racial discrimination.
Registered Rep. March 18, 2005 Will Leitch	Wachovia: On the Recruiting Warpath Wachovia Securities, the third-largest brokerage in the country, has announced an "aggressive" new strategy: the creation of the Individual Investor Group, entirely devoted to the recruitment and retention of individual brokers.
Registered Rep. January 9, 2008 Halah Touryalai	Smith Barney Snags Three Advisors From Rivals Smith Barney has started off the new year right with a recruiting victory. The firm recently hired three Merrill Lynch reps and one UBS advisor.
Registered Rep. February 23, 2007 Kevin Burke	Disgruntled Smith Barney Brokers Are Voting with Their Feet Sixty-nine brokers left Smith Barney, just ahead of a three-day weekend. Fridays before a long weekend are historically prime times for unhappy brokers to make a clean break, but the large number of brokers taking off on a single day is alarming.
Registered Rep. May 1, 2006 John Churchill	Score One for Diversity UBS has hired a prominent black Smith Barney broker.
On Wall Street February 1, 2012	Who's News New hires for Merrill Lynch Wealth Management, Morgan Stanley Smith Barney, UBS Wealth Management, and Raymond James.
Registered Rep. September 1, 2004 David A. Gaffen	Parting is Such Sweet Sorrow You won't have to steal client addresses and phone numbers any more when switching firms --- that is, if you work for Merrill Lynch, Smith Barney or UBS Securities.
Registered Rep. December 12, 2006 Halah Touryalai	Smith Barney Pay Package: Perks Balance Cuts? This week, Smith Barney will become the first firm to make a change to its payout grid as a result of the securities industry's recent battle over broker overtime pay and so-called chargebacks.
On Wall Street November 1, 2008	Who's News Staffing announcements from wirehouses and regionals from the November 2008 issue.
On Wall Street December 1, 2011	Who's News Morgan Stanley Smith Barney hired three advisors from UBS Financial Services... Bank of America Merrill Lynch hired Morgan Stanley Smith Barney advisors Raymond Stacy and Christopher Pieper... Wells Fargo Advisors hired advisor Zoran Vaz...
Registered Rep. December 1, 2002 David A. Gaffen	Light A Candle, or Curse the Darkness For brokers and financial advisors, 2002 may be remembered as the year in which those who knew they had the right stuff redoubled their efforts to elevate their skills and become the kind of advisors who could survive the bear market and build a 21st century practice.
Financial Advisor January 2009 Eric Rasmussen	Revenge Of The Wirehouses Large Wall Street firms dangle big incentives to hang onto advisors.
Registered Rep. June 1, 2004	Comings & Goings David Harris moved to UBS Securities from Smith Barney... UBS Securities lost a broker to upstart wealth manager Mercury Wealth Management... Carol Rogers recently moved to Linsco/Private Ledger from Wachovia Securities' FINet system... etc.
Registered Rep. June 1, 2006 Kristen French	Hungry for Hires Wachovia hired a whopping 900 reps in 2005, bringing the total to 10,400, and aims to add the same number in 2006, including around 100 rookies.
On Wall Street September 1, 2009 Helen Kearney	On Life Support a Year Ago, Merrill Pays for Top Producers Merrill, under BofA, seems to be on the hunt to add to its ranks, and it's offering a very competitive package that has almost unlimited upside for top producers.
On Wall Street October 1, 2008	Who's News Staffing announcements from wirehouses, regionals and private banks.
Registered Rep. March 1, 2005 John Churchill	Earnings Forecast: Clouds Give Way to Sun The past year's earnings troubles belie the brokerage industry's sunny prospects for 2005. For advisors, the industry's recent troubles have translated into fewer jobs, but many firms are recruiting aggressively again.
Registered Rep. November 8, 2011 Jerry Gleeson	Auction Rate Revenge For tens of thousands of investors who were trapped in the auction rate securities debacle that started in 2008, finances are getting back to normal.
Registered Rep. March 1, 2003 Ross Tucker	Fees? Sigh, Ho Hum Relatively few brokers are increasing their commitment to fee-based advisory practices, even in this everything-to-gain-from-change economic environment.
Registered Rep. March 1, 2007 John Churchill	Sallie's Back At first glance, this second coming of Sallie Krawcheck probably looks like a cakewalk compared to her first adventure in 2002. But, make no mistake: Smith Barney is not the awesome brokerage it appears to be on paper.
Registered Rep. November 18, 2005 Kristen French	Smith Barney Cuts Pay for Smaller Brokers The new pay scale was announced to brokers internally in October and will take effect in January.
On Wall Street March 1, 2010	Who's News Merrill Lynch hires father-and-son team... Morgan Stanley recruits Carlos Van Maanen and Carlos Stolk... Emerson Knowles and Joseph Spicer leave Morgan STanley to join Merrill Lynch... RBC Wealth Management hires John Menefee and Tom Meagher... etc.
On Wall Street March 1, 2012	Who's News UBS Wealth Management Americas has hired six financial advisors... Morgan Stanley Smith Barney hired Merrill Lynch advisors Philip Ressa and Justin Cho... Barclays Wealth has hired eight financial advisors...
Registered Rep. November 1, 2005 Kevin Burke	Reshuffling the Decks There is an unusual amount of reorganization afoot, with Merrill, Wachovia, UBS, Morgan Stanley and Smith Barney all shaking up their retail brokerage operations. Some of the moves have direct implications for retail advisors.
Registered Rep. January 1, 2006 John Churchill	More, More, More Faced with growing competition from other advice providers and fewer inherent advantages in the way of products and platform capabilities, wirehouse brokers will feel pressure to do more fee-based business and to make wealthier clients a bigger part of their practice.
Registered Rep. January 13, 2003 Gaffen & Geracioti	Wachovia-Prudential: For Real This Time? Can you say Pru-chovia? Prudential Securities and Wachovia Securities are very close to an agreement to join forces, one that was scuttled earlier in the year, reportedly due to differences in who would control the unit.
Registered Rep. December 1, 2004 David A. Gaffen	Meet the New Boss, Different From the Old Boss November's news that Bob Mulholland was leaving Merrill Lynch wasn't entirely a surprise. He had been co-head of the 14,000-strong retail brokerage unit, but Merrill insiders figured all along that only one boss would prevail.
On Wall Street January 1, 2009 Frances A. McMorris	The 10th Annual Recruiters Roundtable Packages get lowered. Brokers get hired. Markets have tanked. Retention offers are shrinking. And yet, according to the experts in our 10th Annual Recruiters Roundtable, there are still opportunities in the retail brokerage arena, if you know where to look.
Registered Rep. October 22, 2002 Rick Weinberg	Merrill to Reps: Go Get 401(k) Business Merrill Lynch advisors are now going to offer participants in Merrill-run retirement plans specific buy and sell recommendations. Indeed, participants may elect to turn over all investment decisions to Merrill advisors.
Registered Rep. January 14, 2011 Kristen French	Some MSSB Advisors Upset by Johnston's Departure Morgan Stanley CEO James Gorman announced Thursday that Greg Fleming, head of the firm's asset management business, will replace Charles Johnston as head of wealth management.
Registered Rep. August 10, 2004 David A. Gaffen	Fleeing Brokers Can Take Some Client Info Three of the nation's largest brokerage firms have agreed to make it easier for registered reps to take clients with them when they change firms, eliminating a lot of the cloak-and-dagger antics that brokers often suffer when making a move.