Wilkes Thomas Martin III joined Morgan Keegan & Co., Inc. as a financial advisor and senior vice president in the firm's Greenville office. Prior to joining Morgan Keegan, Martin was a corporate client group director...
Playing hopscotch from one firm to another, without losing all of your clients, may soon get a little easier. That is, if the SEC's proposed amendment to privacy policy rules, also known as Regulation S-P, is approved...
JP Morgan’s chief may have asked asked rival firms to back off from hiring Bear Stearns advisors, but that doesn’t mean competitors have stopped offering recruiting deals to anxious Bear reps.
By now, everyone on Wall Street knows Bear Stearns is in deep—well, you know what. But where does the firm’s state of emergency leave its 500 or so advisors? That depends on whom you ask.
RBC Dain Rauscher continued its recent streak of acquisitions in February, announcing plans to acquire Ferris, Baker, Watts (FWB), a full-service broker/dealer in Washington D.C. The acquisition strategy is part of an...
Deal making in the wealth-management space has been rampant lately, and some holding companies and individual RIAs are beginning to see opportunities in Europe. Focus Financial Partners, a two-year-old holding company...
LPL Financial hired Christopher Poch as executive vice president of wealth management and CEO of the firm's trust services subsidiary, The Private Trust Company. Prior to joining LPL, Poch served as managing director...
There's no such thing as an easy route to independence. But there are some things reps can do to ease the transition. Consultants say the most critical time for an RIA startup is likely about three to six months prior...
