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Ameriprise needs to find a buyer for Securities America in a hurry. Many advisors, including large producers, are likely to leave now that Ameriprise's intention to sell has been made known, sources told Registered Rep. The IBD will probably be...
With interest rates and inflation expected to rise in the months ahead, investors and advisors are focusing their attention on managing the risks in their fixed income portfolios, according to panelists at Wednesday’s Closed-End Funds and...
The Investment Management Consultants Association announced Wednesday that its popular CIMA certification is now accredited by the American National Standards Institute (ANSI), making it the first of the major wealth management designations to...
Online options brokerage optionsXpress had been looking for a merger partner for nearly three years before it accepted an offer from Charles Schwab Corp. in March, according to a filing with the Securities and Exchange Commission. Growing...
John Thiel, who rose from the trenches at Merrill Lynch as a financial advisor in Tampa, Fla. to head the firm’s private banking group, will soon lead some 15,000 advisors in Merrill’s U.S. brokerage unit as well, his boss Sallie...
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. After he had joined the firm, he found that Raymond James...
Many of your Boomer clients have elderly parents who are facing a seemingly unsolvable problem: how to produce enough income to cover increasing living costs without jeopardizing investment principal...
