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Investment Advisor
May 2008 |
Changes New York Life announces president, CEO of investment management arm... Raymond James Financial adds senior managing director of equity trading... Federal Reserve of St. Louis appoints president, CEO... etc.   |
Registered Rep.
January 8, 2010
Jerry Gleeson |
Wells FA Team Bolts for Moneta, an RIA More proof of the breakaway broker phenomenon, albeit anecdotal? Moneta Group has hired two veterans legacy A.G. Edwards advisors, the company said today, amid a nascent national trend of advisors leaving wirehouses for smaller independents. |
Investment Advisor
July 2007 |
Changes Shawn Dreffein, president of National Planning Corporation has retired... American Century Investments appointed Barry Fink... etc. |
Investment Advisor
February 2007 |
February 2007 Ann Combs, former Assistant Secretary of Labor, will join Vanguard this month... The Financial Planning Association's chairman, James Barnash, announced plans to leave his post... etc. |
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. |
Registered Rep.
June 1, 2006
John Churchill |
Life After Tom After 36 years as CEO of Raymond James Financial, 63-year-old Thomas James may one day soon have time to improve his golf game. |
Registered Rep.
October 29, 2009
Kristen French |
RJFS Raises RIA minimums, LPL Pulls Past RJ in RIA Assets Raymond James is raising minimums for new RIAs who want to custody assets on its RJFS-IAD platform from $30 million to $50 million. |
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... |
Registered Rep.
January 23, 2009
Halah Touryalai |
Raymond James Lookin' Good--But For How Long? The folks at Raymond James have something to smile about -- the company posted positive numbers for the first quarter of fiscal 2009, and managed to beat some analysts' expectations. |
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.
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. |
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. |
Investment Advisor
April 2008
James J. Green |
Deep Bench To offer wealth management services efficiently, you need strong performers in your corner. |
Registered Rep.
April 27, 2011
Diana Britton |
Poll: Do Recruiters Promise Too Much? A former Raymond James advisor recently filed suit against the broker/dealer claiming an internal recruiter misrepresented the support, technology and compensation the firm could deliver. |
Registered Rep.
May 31, 2013
Megan Leonhardt |
The Guru Bella Allaire understands the best technological tools are the ones you notice the least. Her work at Raymond James is using technology to bring clients and advisors closer together. |
Registered Rep.
December 5, 2011
Anne Field |
How to Bust Out to a Fee-Only Model In the two years since he's joined Moneta Group, Pat Howley has moved his business from 60 percent commission to 90 percent fees. |
Investment Advisor
April 2009 |
Changes People on the move: Paul Reilly will replace current Chairman and CEO Tom James as CEO of Raymond James Financial... FINRA hires Richard (Rick) Ketchum as its CEO... |
Financial Advisor
January 2004
Dorothy Hinchcliff |
Custodians Are Knocking More custody players have been clamoring for the business of registered investment advisors, and that trend will continue this year, say two well-known research firms for financial institutions and investment managers. |
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.
July 16, 2010
Jerry Gleeson |
A Mixed Second Quarter for Merrill, Schwab Second-quarter earnings results posted today by Merrill Lynch and Charles Schwab Corp. offered a mixed picture to financial advisors hoping for a stronger recovery. |
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. |
Investment Advisor
December 2009 |
Changes Hirings and other personnel news in the financial planning industry. |
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
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. |
The Motley Fool
September 24, 2004
Nathan Slaughter |
A.G. Edwards Misses the Mark The full-service broker reports Q2 earnings just shy of estimates. |
Financial Planning
January 1, 2010
Stacy Schultz |
Making a Statement When Raymond James bumped up its minimums in November, it positioned itself for a new standard, but could bad timing hinder its strategy? |
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. |
On Wall Street
September 1, 2011
Lorie Konish |
Pursuing Recovery and Profitability When volatility hit the markets in August following Standard & Poor's downgrade of U.S. debt, it left investors and their financial advisors scrambling. How ready are firms and advisors to apply the lessons learned in those dark days? |
Registered Rep.
April 5, 2012
Diana Britton |
Raymond James Reminds New $4 Million Team of Wheat First Days John Lynch, who leads the team, said Raymond James' "regional" feel reminds him of his days at Wheat First Butcher Singer, which he joined about 14 years ago. |
Registered Rep.
July 29, 2013
Diana Britton |
No Man Is an Island Independent broker/dealers are dressing up their offerings to attract and retain advisors tempted to start their own RIAs. |
Registered Rep.
July 21, 2011
Diana Britton |
Raymond James Rep Count, Assets Up Amid Tough Recruiting Environment Raymond James Financial's private client group added 20 advisors and reported a $3 billion boost in client assets. |
Registered Rep.
April 1, 2007
John Churchill |
Can Schwab's RIA Empire be Toppled? Last year the online-broker-turned-advice-provider extended an already massive lead over rivals Fidelity and TD Ameritrade in RIA asset gathering. Is there no challenger to Schwab's throne? |
Wall Street & Technology
November 18, 2005
Maria Wakem |
E-Mail Contention While most financial services firms are now compliant with SEC e-mail retention rules, the problem of selecting the best technology for the job still persists and is largely due to confusion among compliance and IT departments regarding what needs to be accomplished. |
Financial Planning
May 1, 2010
Marion Asnes |
40 Years of Tom James When Tom James became CEO of Raymond James in 1970, the Dow Jones Industrial Average was in the low 800s. He's had quite a ride. |
Registered Rep.
December 9, 2003
Will Leitch |
Raymond James Audits Itself In the wake of last week's news that regulators have recommended "enforcement action" against Raymond James Financial for failure to offer clients breakpoints, the Florida-based brokerage has called for an all-hands-on-deck audit of its mutual fund trading. |
Registered Rep.
October 1, 2005
Kristen French |
Ducking the VA Storm Raymond James outlined plans to cut fees and commissions, and remove some conflicts of interest in variable annuity marketing. The broker/dealer has notified insurers that if they wish to sell on its platform they must adhere to new design requirements. |
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. |
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.
December 1, 2004
Karen F. Donovan |
Raymond James Fights a Lonely Battle with the SEC After nearly two years of negotiations, the agency charged Raymond James Financial Services with civil fraud in connection with the conduct of a rogue broker who worked off-site as an independent rep in Cranston, R.I. |
Registered Rep.
June 1, 2005
Karen Donovan |
No More Slap on the Wrist Regulators are getting tough and creative on registered reps because they suspect that fines aren't a strong enough deterrent to stop illegal behavior. |
Registered Rep.
April 29, 2005
Kristen French |
Raymond James Fined, Drops Fee-Based Brokerage---Will Others Follow? Following the NASD fine of Raymond James for pushing fee-based accounts on the wrong clients, the next question is how the settlement will affect other firms that offer the same accounts, including wirehouse giants Morgan Stanley, Merrill and Smith Barney. |
Financial Advisor
December 2009
Eric Rasmussen |
Big Guys Fight Back Broker-dealers try to find their bearings in 2010 as their antagonists push back. |
Registered Rep.
April 2, 2012
Diana Britton |
It's Official: Morgan Keegan Advisors Now Work for Raymond James The next step in the integration process will be to roll out Raymond James' products and services to Morgan Keegan advisors. |
Financial Advisor
March 2012 |
Raymond James Hedges Bets Raymond James Financial Services CEO Dick Averitt related a story of how the independent contractor grew from a relatively small base 25 years ago to the largest part of the brokerage firm's business today. |
Registered Rep.
January 1, 2008 |
Top 50 Independent B/D Advisors Our list of the top broker/dealer advisors. |
Investment Advisor
November 2005
Kathleen M. McBride |
Gender Gains Women at work in the financial industry -- especially the independent advisor community -- are a force to be reckoned with. |
Registered Rep.
June 29, 2011
Kristen French |
Raymond James Hit With $300 million ARS Settlement; Pay Back For All ARS Clients The company has agreed to a multi-state settlement that will require the firm to buy back $300 million in auction rate securities it sold to clients prior to the collapse of the ARS market in February of 2008. |
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. |
Financial Advisor
January 2009
Eric Rasmussen |
Revenge Of The Wirehouses Large Wall Street firms dangle big incentives to hang onto advisors. |
Registered Rep.
September 26, 2008 |
Ray Jay Wants In On Bank Action Raymond James Financial Services plans to convert itself into a bank. |
