Location City: Western New York StateLocation State: NYBase Salary: $100,000 - $110,000, DOE Bonus & Incentives: Bonus flexible based on 25% bonus pool. Amount tied to company & individual goal attainment. Position Responsibilities: The Wealth...

Location City: San DiegoLocation State: CA Base Salary: $90-100k Position Responsibilities: We are in search of an experienced business development officer in the San Diego market. This person will work on their own in developing relationships...

Fee-based brokerage may be here to stay, but regulators are putting it through the wringer. On Tuesday, Morgan Stanley became the second firm to be penalized this year for failure to supervise its fee-based brokerage business. The NASD says the...

For Morgan Stanley brokers, the kind of flattery that Philip Purcell seemed to demand during his tenure there isn’t going to work on John Mack. Addressing his retail force on a firm-wide conference call Monday morning, Morgan Stanley CEO...

For registered rep reservists serving in one of the nation’s armed forces, coming home and returning to the job is soon to get a lot easier. Of course, the NASD says there is nothing it can do to prevent colleagues from stealing a GI advisor...

Morgan Stanley confirmed its plans to cut back on its broker trainee program and, separately, cut underperforming brokers, probably about 10 percent of the force, a story that Registered Rep. broke on Tuesday.

The NASD took steps this week to make sure securities arbitration panels truly represent the public. The regulator proposed banning from serving as public arbitrators individuals who work for any firm with ownership ties to a broker/dealer, as...

Location City: Boston Location State: MA Base Salary: $125,000+ DOE Bonus & Incentives: Discretionary bonus. Typically averages 5% of base. Position Responsibilities: The primary responsibility of this position is the effective and efficient...

Location City: Winston Salem Location State: NC Base Salary: Strong Compensation Plan based on Fee Revenue Position Responsibilities: Top Tier Investment Firm seeks Client Advisors to work with Ultra High Net Worth individuals, Foundations and...

Location State: MN Base Salary: 72,000-87,000 Position Responsibilities: Develops new business relationships and enhances existing relationships with doctors, attorneys, etc.) and high net worth individuals. Produce loans for affluent consumer and...