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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
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          • 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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Raymond James

McGee Wealth, led by (left to right) Sarah Elise Berry, Jennifer Currin Gutridge, D. Linette Dobbins and Judith A. McGee, sold to Mercer Dec. 31.
1/11/21 | News | McGee Wealth Management, Raymond James | 2 Comments

Mercer Snaps up $800 Million-Plus RIA in Oregon

Paul Reilly, chairman and chief executive of Raymond James Financial.
Raymond James

Raymond James Slashes CEO Pay 17% in Turbulent Year

1/8/21 | Coronacrash, News | 6 Comments

Chief executive Paul Reilly earned $11.1 million in 2020 as RayJay’s board said it “significantly” reduced annual bonuses for senior executives in light pandemic-related declines in earnings.

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Covid-19, Executive Compensation, Paul Reilly, Proxy Filing
Financial Advisor Moves
Bank of America, Merrill Lynch, Raymond James, UBS

Merrill Loses $2.8-Mln Producer to UBS, $2-Mln Team to Independence

12/28/20 | Advisor Moves, Breakaway, News | 39 Comments

Advisors in Louisiana and New Jersey left Merrill after about two decades.

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Mark Pomerantz and Andrreew Hutcheson
Alex. Brown, LPL, Raymond James, Rockefeller Capital Management, Wedbush

Wirehouse Advisors in Florida, L.A. Jump to ‘Boutiques’ Rockefeller, Alex. Brown

12/17/20 | Advisor Moves, Breakaway, News | 1 Comment

Broker with more than two decades of experience at Morgan Stanley joins Rockefeller’s fledgling Boca office and 39-year California advisor signs on with RayJay’s Alex. Brown.

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Finra Sign
Morgan Stanley, Raymond James, UBS, Wells Fargo

Wirehouse Brokers Who Took Client Data Fired by New Firms, Sanctioned by Finra

11/30/20 | News | 5 Comments

Former UBS and Morgan Stanley brokers are fined and suspended by regulator over client privacy violations after losing their new posts at Wells Fargo and Raymond James.

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Finra
Charles N. Marks,Catherine Cavalier, Taylor Achille and Wendy Franklin-Bayley, left Wells Fargo
Raymond James, Wells Fargo

Wells Loses Texas Veteran, Maryland Up-and-comer to Independence

11/19/20 | Advisor Moves, News | 6 Comments

Texas broker who spent his 27-year career at Wells and predecessor A.G. Edwards chafed over small-account policies; nine-year NextGen star in Maryland wanted greater marketing and investment-choice freedom.

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Paul Reilly, chairman and chief executive of Raymond James Financial.
Ameriprise, Raymond James

Raymond James, Ameriprise Tout Recruiting Results in Tough Quarter

10/29/20 | News | 1 Comment

Raymond James ended its fiscal year with 228 more advisors than 12 months earlier while Ameriprise was down a net 25.

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JP Morgan Chase
JP Morgan, Raymond James

J.P. Morgan Loses Two-Year Battle to Impede Brokers Who Joined RayJay

10/26/20 | News | 5 Comments

Arbitrators in Indianapolis deny J.P. Morgan Securities’ bid to collect at least $1.5 million from three brokers who joined Raymond James more than two years ago.

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Financial Advisor Team
Ameriprise, Raymond James, UBS

Ameriprise Hires RayJay, UBS Solo Practitioners in FL, CA

10/9/20 | Advisor Moves, News | 10 Comments

Minneapolis-based Ameriprise recruits southern Florida advisor with 23 years of experience to its employee channel and 17-year San Francisco broker to its independent arm.

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Renee Hof-Lacey left Morgan Stanley after 27 years for Raymond James.
Janney, Morgan Stanley, Raymond James

Janney, RayJay Hire 20-Year Veterans of Merrill, Morgan Stanley

10/1/20 | Advisor Moves, News | 7 Comments

Janney says new hire in Virginia was managing $300 million at Merrill, while RayJay says its Michigan recruit managing $115 million at Morgan Stanley moved for the “freedom to truly own and run my practice.”

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FINRA sign
FINRA, Merrill Lynch, Raymond James

Ex-Merrill, RayJay Broker Settles Finra Charges of Taking Client Info

9/29/20 | News | 2 Comments

Regulator fines and suspends a California broker, despite his success in expunging allegations of purloining client information when he left Merrill for Raymond James.

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Finra sign
FINRA, JP Morgan, Raymond James, UBS

Finra Fines JPMorgan Broker Trying to Do Customers a Solid

9/25/20 | News | 13 Comments

Regulator fines and suspends a novice broker who J.P. Morgan fired for moving customer money to higher-paying money market funds without authority and a senior former RayJay and UBS broker who took loans from a friend and customer without permission.

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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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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.
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Our goal is to unlock the challenges to reveal the opportunities and what it means to provide advice in the 21st century.
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Made for and dedicated to those folks serious about their financial plan.
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