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On Wall Street
July 1, 2009
Frances A. McMorris |
The Lure of Independence After 14 years as a Merrill Lynch financial advisor, Jason DiLauro set himself up as an independent through Raymond James Financial Services four miles from his previous office.   |
Financial Advisor
December 2006
Tracey Longo |
Women's Work To get constant feedback from women producers on what they need and want to work smarter, Raymond James formed a 12-member Women's Advisory Council that assists the firm in building out its programs and resources for women. |
Financial Planning
October 30, 2006
Elizabeth O'Brien |
Testing the Glass Ceiling Women are working to raise their numbers -- and their profile -- in financial planning. |
Registered Rep.
November 14, 2011
Diana Britton |
Raymond James Hopes New Training Program Will Appeal to Women Bob Patrick, director of education and development for Raymond James, said the industry has become more relationship- and planning-oriented, rather than product-oriented, and this model fits well with how women work. |
On Wall Street
January 1, 2011 |
Recruiting's Next Big Challenge A conversation with industry headhunters about the job market for financial advisors. |
Registered Rep.
December 1, 2011
Kristen French |
Broker Report Card 2011: It's Getting Better All the Time Registered Rep.'s 21st annual Broker Report Cards showed advisor satisfaction ratings creeping higher this year across the board -- on everything from compensation and benefits, compliance support and sales support to products. |
Investment Advisor
June 2009 |
Changes People on the move: Debbie McWhinney head of Citi Personal Wealth Management... Lynn Turner named senior advisor and managing director in the forensic accounting practice of LECG... Dennis Klaeser recently joined Raymond James... more... |
On Wall Street
April 1, 2013
Mason Braswell |
Raymond James' New Breed Pushes Ahead After Morgan Keegan Acquisition The acquisition of Morgan Keegan added hundreds to Raymond James wealth management ranks one year ago. Branch Manager Robert Brewer reveals how he made the transition. |
Investment Advisor
September 2005
Kathleen M. McBride |
Building a Brilliant Career Larry Barton of The American College offers words of wisdom on how to be a successful financial advisor. |
On Wall Street
March 1, 2012
Lorie Konish |
Go,Teams! When Hilliard Lyons introduced its current team-based award program in its compensation program five years ago, it led to what Executive Vice President Darryl Metzger now calls an "A-HA" moment for the firm. |
Investment Advisor
April 2008
James J. Green |
Deep Bench To offer wealth management services efficiently, you need strong performers in your corner. |
Registered Rep.
March 28, 2006
David Geracioti |
Broker/dealer Recruiting and Retention (Transcript from "New York Times Job Market Roundtable" with Registered Rep.) Best Practices in Recruitment and Retention of Financial Planners -- a roundtable discussion with industry experts on the evolving role of the financial advisor. |
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... |
On Wall Street
January 1, 2011
Mike Byrnes |
Pulling Out All Stops Since 2008, the financial services industry has taken a beating-not just in assets under management and performance, but in reputation, as well. |
On Wall Street
June 1, 2011 |
The Leaders Speak The most influential leaders in wealth management today expound on evolution, revolution, moving the debate past wirehouse versus independent, and more. |
On Wall Street
February 1, 2012
Konish & McMorris |
Raymond James Rising Raymond James & Associates struck a deal with Regions Financial to buy its Memphis-based Morgan Keegan unit for $930 million. |
On Wall Street
June 1, 2013
Braswell & Konish |
Leaders: Ranking the Top Wirehouses and Regional Broker-Dealers This year, the leading wirehouse and regional wealth management firms took the steps necessary to ensure they reap rewards as markets hit new highs. |
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. |
Financial Advisor
January 2005
Eva Marer |
Progress In The Profession Margaret Chow Stanner is one of the women who blazed a trail in the financial advisory field that others are now following. |
Financial Advisor
January 2005
Tracey Longo |
How Fee-Based Programs Led 2004 Brokerage Profits Fee-based profitability is not lost on brokerage executives, who are ramping up programs designed to attract more planners to a fee-based business model and away from traditional commissions. |
Registered Rep.
May 1, 2005
Kristen French |
Go to the Head of the Class This financial advisor and winner of an Outstanding Broker Award for 2005 loves learning, and his clients love him for it. |
Registered Rep.
January 1, 2003
Gaffen & Geracioti |
The Future of the Industry The broker has to be a person who can handle every aspect of a client's financial life. The broker must evolve into a kind of chief financial officer for the client -- managing everything from investments to insurance to estate planning to mortgage banking. |
On Wall Street
September 1, 2012
Lorie Konish |
Raymond James Redefines the Art of the Client Visit The experience is aimed at strengthening client's ties to their advisor and trust in the firm. |
Registered Rep.
April 21, 2011
Diana Britton |
Raymond James Adds Assets, Loses Advisors Raymond James Financial's Private Client Group led the firm's growth in the second quarter. |
Financial Advisor
February 2010
Sherri Scordo |
Frontline News Financial Services News: Branch Managers Break Away To Independence... Call For Fiduciary Standard Unites Disparate Forces (Sort Of)... Independent Contractor Status Under Review... Retirement Planning Industry To Be A Top Performer In New Decade... more... |
Registered Rep.
May 1, 2012
Diana Britton |
Comings & Goings: May 2012 Raymond James named Erik Fruland as chief operating officer... M. Kitces has been named a partner at Pinnacle Advisory Group... Matt Lynch has landed at Tiburon Strategic Advisors... |
Registered Rep.
February 13, 2012
Jerry Gleeson |
Raymond James Ramping Up Its RIA with New Leadership, Investment The new president, Bill Van Law, said the company plans to make a significant investment in the business in the months ahead. |
Financial Advisor
January 2009
Eric Rasmussen |
Revenge Of The Wirehouses Large Wall Street firms dangle big incentives to hang onto advisors. |
On Wall Street
May 1, 2011 |
Who's News News from UBS Wealth Management, Stifel Nicolaus, and Raymond James. |
Financial Planning
November 1, 2008
Stacy Schultz |
Going Indy After two years of toying with the idea, a team of UBS advisors decided it was time they took going independent seriously -- very seriously. |
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.
April 24, 2009
Halah Touryalai |
Raymond James Takes a 2Q Hit -- But Gains Retail Advisors Raymond James Financial posted dismal overall earnings for the second quarter, but its private client group appears to be a bright spot. |
On Wall Street
January 1, 2012 |
Who's News UBS AG has named Robert J. McCann chief executive of UBS Group Americas... Raymond James shifted its leadership team ahead of the expected departure of Raymond James Financial Services Chairman and CEO Dick Averitt next year... more... |
On Wall Street
March 19, 2013
Bill Willis |
Recruiter's Tour of Raymond James Morgan Keegan employees were required to make a home office visit after their firm was acquired by Raymond James. |
On Wall Street
December 1, 2010 |
The Top 40 Advisors Under 40 As a testament to the importance of teamwork, this is the fourth consecutive year that our top spot is taken by a duo. |
Investment Advisor
September 2008
Robert F. Keane |
Far From Retired Tony Purpero thought he was headed into retirement when he returned to southern California, but instead finds himself working harder than ever to help other current and future retirees. |
Registered Rep.
December 3, 2013
Megan Leonhardt |
Out From Under A rising market lifts many spirits, including advisor satisfaction with the firm that employs them. |
Registered Rep.
December 21, 2012
Megan Leonhardt |
Looking Back, 2012 A Mixed Bag For Wirehouses Assets mostly were up, but advisors are on the move. |
On Wall Street
September 1, 2008
Donna Mitchell |
Which Firms Leave Clients Most Satisfied? It's easy to call clients in good markets, but more important to call them when times are bad. |
Registered Rep.
July 22, 2010
Christina Mucciolo |
Raymond James Financial and Wells Fargo Retail Brokerage Units Hang In There A report on earnings from two major financial firms. |
On Wall Street
August 1, 2010
Aarti N. Maharaj |
The Wirehouse Way While the lure of independence has traditionally been viewed as the ultimate siren song for many advisors, many in the industry are finding good reasons to stay with the big companies. And it's not all about the money. |
Registered Rep.
April 18, 2011
Diana Britton |
MSSB Team Jumps Ship to Raymond James Father-daughter advisor team Martin Gelb and Sonya Gelb Choeff have jumped ship to Raymond James in Miami Beach, Fla., from Morgan Stanley Smith Barney, as the fight for talent continues. |
On Wall Street
February 1, 2010
Frances A. McMorris |
When Firms Collide: Is Culture Clash Inevitable? Merged companies have been integrated and new executives have taken up their posts, but everyone is still trying to adjust. |
Registered Rep.
August 4, 2010
Anne Field |
Listen To Your Clients You need to make sure you have your finger on your clients' pulse and an up-to-the-minute understanding of what they like -- and dislike -- about what you do. It's particularly important in the current climate of disillusionment, when clients are switching advisors right and left. |
Registered Rep.
September 1, 2003
David A. Gaffen |
Giants Among us Debbie Jorgensen's book is pushing a half billion dollars, but the true measure of her success is this: She now gets to tell her company's bosses what to do. Jorgensen, with nearly two decades of experience at Merrill Lynch, has recently been appointed head of the firm's advisory committee to management. |
Registered Rep.
October 20, 2011
Diana Britton |
Raymond James Posts Flat Earnings, Record Advisor Productivity in Fiscal Q4 CEO Paul Reilly said the private client group had strong performance driven by record advisor productivity. |
Financial Advisor
August 2006
Tracey Longo |
Late Summer Recruiting While the recruiting party will get tougher some day for broker-dealers who cater to independent advisors and reps, for now they are enjoying their competitive advantage: They give brokers and advisors who want to own their own business the chance to do that. |
Registered Rep.
April 2, 2013
Diana Britton |
Comings & Goings: April 2013 Scott Collins, former CEO of FirstPoint Partners, has moved to TD Ameritrade Institutional... Raymond James has named Vin Campagnoli as chief information officer... Convergent Wealth Advisors has hired John Mastal as managing director... |
On Wall Street
February 1, 2013
Mason Braswell |
Connecting with Clients Could Lead to Opportunity Firms are partnering with their advisors to help mid-market business owner clients retire. |
On Wall Street
February 1, 2013
Matt Greenslade |
Competition for Talent in Wealth Industry Stays Strong It s an advisor s market, as firms with diverse practice models strive to nab top talent. |
