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          • Advisor workingThis Week’s Top Stories: Morgan Stanley Sues RBC Team, Finra Raps Broker over A-Shares, and More
          • Merrill Lynch Exterior Sign and LogoMerrill’s New Household Growth Fell 40% in 2020–Sources
          • Wells FargoWells’ Wealth Profit Climbs Despite Continued Broker Attrition
          • (Left to right) Gregory Ernst and Todd Stark moved to RBC from UBS along with client associates Amy McGuire, Marnie O’Brien, Trudy SoperRockefeller, RBC Lure Merrill, UBS Teams in Midwest
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          • Morgan Stanley, UBS Advisor movesMorgan Stanley Rehires $3.3-Mln UBS Team in North Carolina
          • Lars Olson of Sanctuary Wealth Partners in Marion, OHSanctuary Hires $435-Mln Merrill Team, Snowden Lures Another from Retirement
          • Stifel Investment CompanyStifel Hires 33-Year Brokerage Vet from Jefferies in Dallas
          • (Left to Right) Merrill West Fort Worth producing manager Brad Bruce, Michael Coody, Aaron Gutierrez, David Cepeda and Dana Lewis.Merrill Hires $2-Mln JPMorgan Bank Team in Texas
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          • Businessman in prison, fraudWells Fargo Claws Back $3 Million from Jailed Ex-Broker
          • Finra signFinra Fines, Supends Ex-Ameriprise Broker Who Flipped ‘A’ Shares
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          • Opinion-How-Will-The-Coronavirus-Affect-The-Stock-Market-Opinion: Coronavirus – What Advisors Need to Know
          • opinion-investors-conquered-fees-next-up-is-their-own-behaviorOpinion: Investors Conquered Fees but Not Their Own Behavior
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          • System outageMerrill Systems Hiccuped on Thursday as Stocks Slid
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          • 2021 PredictionsFrom the Publisher: Sirianni’s Predictions for 2021
          • Josh Rogers – 772×485Seven Questions with Tony Sirianni: Josh Rogers, Founder and CEO, Arete Wealth
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E*Trade

Morgan Stanley
10/15/20 | News | E*Trade, Morgan Stanley | 10 Comments

Morgan Stanley Limits E*Trade Customer Referrals to Specialized Brokers

Profit down
E*Trade, Eaton Vance, Merrill Lynch, Morgan Stanley, Wells Fargo

Morgan Stanley Q3 Profit Falls on Higher Comp Expenses, Lower Interest Revenue

10/15/20 | News

Chief Executive James Gorman says brokerage force is growing, along with client assets.

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E*Trade, Morgan Stanley, UBS

Morgan Stanley Hires Multi-Million UBS Stock Plan Team in Houston

8/28/20 | Advisor Moves, News | 6 Comments

Four UBS brokers managing $1 billion were the stub of a sprawling stock-plan team that had split for Morgan Stanley last year.

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James-Gorman-Morgan-Stanley-772x485
E*Trade, Morgan Stanley

Morgan Stanley Wealth Profitability to Plunge But Worst Is Over: CEO

6/10/20 | Coronacrash, News | 10 Comments

Rock-bottom interest rates mean a loss of hundreds of millions of dollars and wealth profit decline, but Morgan Stanley’s Gorman is upbeat about recovery and expansion of wealth management.

Read More

David Solomon
Charles Schwab, E*Trade, Folio Financial, Goldman Sachs, Morgan Stanley, TD Ameritrade

Goldman to Buy Folio Financial, Venture Into RIA Custody

5/14/20 | News | 1 Comment

After absorbing the mass affluent United Capital RIA firm in July, Goldman pushes ahead to custody assets of other RIAs through acquisition of tech-savvy Folio.

Read More

etrades-ria-custody-business-faces-uncertain-fate
Charles Schwab, E*Trade, Morgan Stanley, TD Ameritrade

E*Trade’s RIA Custody Business Faces Uncertain Fate

2/20/20 | News | 3 Comments

Morgan Stanley executives appear wary of running an RIA channel that would compete for wealthy clients with its internal advisor force.

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Morgan-Stanley-Sells-Etrade-Deal-To-Advisors
E*Trade, Morgan Stanley

Morgan Stanley Pitches E*Trade Deal to Advisors

2/20/20 | News | 11 Comments

Promises integration without disruption—no need for SmithBarney-like platform integration—and potential to add E*Trade clients moving up the advice scale.

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Etrade-Ramps-Up-Spending-In-Attempt-To-Grab-Schwab-Td-Clients
Charles Schwab, E*Trade, TD Ameritrade

E*Trade Ramps Up Spending in Attempt to Grab Schwab-TD Clients

1/24/20 | News

Discount broker is upgrading RIA servicing technology and its digital platform to take advantage of seismic industry shifts, CEO says.

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A Schwab-TD Ameritrade Deal Shocks Broker-Dealers and Advisors
Charles Schwab, E*Trade, TD Ameritrade

Potential Schwab-TD Ameritrade Deal Shocks Broker-Dealers, Advisors

11/21/19 | News | 3 Comments

TDA advisors fret about repapering, integration and service if a deal gets done, and consider custodial alternatives; others celebrate a balance sheet that would rival wirehouses.

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Merrill-Edge-Wont-Mimic-Schwabs-Zero-Commission-Offer-Executive
Bank of America, Charles Schwab, E*Trade

UPDATED: Merrill Edge Won’t Mimic Schwab’s Zero-Commission Offer–Executive

10/3/19 | News | 9 Comments

Bank of America-owned online brokerage unit may enhance relationship-based pricing model but won’t extend free trading across the board, says Edge CEO Aron Levine.

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Etrade-Joins-Rivals-By-Ending-Commissions-In-Race-To-The-Bottom
E*Trade

E*Trade Joins Rivals by Ending Commissions in Race to the Bottom

10/2/19 | News

E*Trade Financial Corp. cut trading commissions to zero, joining major rivals in the race to the bottom and setting the stage for mergers among discount brokerages.

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Michael A. Pizzi, E*Trade's former chief operating officer, who took over as chief executive on Wednesday.
E*Trade

E*Trade CEO Roessner Replaced by COO Pizzi

8/14/19 | News

Discount brokerage firm that recently reentered the RIA custody business declines to explain the transition.

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CORONACRASH NEWS

  • Raymond James Slashes CEO Pay 17% in Turbulent Year

    Raymond James Slashes CEO Pay 17% in Turbulent Year

    Jan 8, 2021
  • Solomon Sees Vaccine Bringing Goldman Staff Back by End of Year

    Solomon Sees Vaccine Bringing Goldman Staff Back by End of Year

    Jan 5, 2021
  • J.P. Morgan Bank Broker Cleared of Coronavirus Crash Claim

    J.P. Morgan Bank Broker Cleared of Coronavirus Crash Claim

    Dec 4, 2020
  • Edward Jones Broker Count Up 5%, Firm Pauses Branch Growth

    Edward Jones Broker Count Up 5%, Firm Pauses Branch Growth

    Nov 5, 2020
  • Merrill Wealth Slowly Eases Out of Covid Slump

    Merrill Wealth Slowly Eases Out of Covid Slump

    Oct 14, 2020

NEWS

  • This Week’s Top Stories: Morgan Stanley Sues RBC Team, Finra Raps Broker over A-Shares, and More

    This Week’s Top Stories: Morgan Stanley Sues RBC Team, Finra Raps Broker over A-Shares, and More

    Jan 16, 2021
  • Merrill’s New Household Growth Fell 40% in 2020–Sources

    Merrill’s New Household Growth Fell 40% in 2020–Sources

    Jan 15, 2021
  • Wells’ Wealth Profit Climbs Despite Continued Broker Attrition

    Wells’ Wealth Profit Climbs Despite Continued Broker Attrition

    Jan 15, 2021
  • Rockefeller, RBC Lure Merrill, UBS Teams in Midwest

    Rockefeller, RBC Lure Merrill, UBS Teams in Midwest

    Jan 14, 2021
  • Fired Merrill Broker in Beverly Hills Barred by Finra

    Fired Merrill Broker in Beverly Hills Barred by Finra

    Jan 14, 2021

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AllIndependenceSuccess
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Suzanne Siracuse asks the questions nobody else asks, as influencers and interviewer collide in her new and truly unique podcast series The Big Reveal.
The “new advice value stack,” and how firms can use it to help maximize their own value propositions for their clients.
The Brighthouse Financial Insights Panel is a group of leading, independent experts providing powerful insights into the big challenges facing you and your clients.
Equipping independent financial advisors with the tips, insights, and knowledge needed to evolve in every aspect of his or her life
Powering Independence Podcast, insights and ideas for RIAs, presented by Dynasty Financial Partners. A podcast dedicated to presenting fresh ideas and best practices for the wealth management industry.
As an industry expert, Frank LaRosa provides guidance and advice on a host of topics from recruiting and transitions, succession planning, practice management, M&A and more.
Our goal is to unlock the challenges to reveal the opportunities and what it means to provide advice in the 21st century.
Our webcast is dedicated to helping our viewers get real insights by avoiding the cognitive dissonance of today’s media outlets and biased editorial filters.
Go behind the scenes with registered investment advisors and other related independent business model experts
As a nationally recognized recruiter and consultant to financial advisors, Mindy Diamond has unmatched experience in introducing advisors to the independent space.
The must listen-to podcast for investors, venture capitalists and financial advisors, with Tony Sirianni and Paul Dietrich.
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In this podcast business owners, entrepreneurs and executives reveal their top tips for success.
We interview top financial advisors and visionary voices to bring you the strategies, tips, and tools you need to make a difference in people’s lives.
A financial literacy and commentary show that features a number of investors, financial experts, professional athletes, business owners and more.
Join Sound Financial Group CEO Paul Adams and President Cory Shepherd every week, as they help you Design and Build a Good Life™.
The Kuderna Podcast, focusing on wealth in it's original meaning- a state of well being.
Timeless wisdom, actionable information you can use right now to make smarter investment decisions.
Made for and dedicated to those folks serious about their financial plan.
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