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Merrill Lynch

The latest headlines in wealth management.

(Left to right) Samuel A. Liebman, his son, Matthew D. Liebman, and Aaron S. Marks left Merrill to launch Amplius Wealth Partners in Blue Bell, Penn.
3/2/21 | Breakaway Center, News | Dynasty FP, Merrill | 16 Comments

$6-Mln Merrill Team Breaks Away to Launch RIA in Pennsylvania

Didi Nicolas, Merrill
Merrill

Merrill Names Nevada Market Head, Loses Producing Manager in New Jersey

3/2/21 | Breakaway Center, News | 4 Comments

Didi Nicolas, a 27-year veteran hired from Morgan Stanley in 2018, was promoted to oversee Merrill Lynch’s Nevada market that includes around 150 brokers.

Read More

Breakaway Broker, Manager Moves, Merrill Lynch, Nevada, Private Portfolio, RIA
Merrill advisors Alpesh R. Patel, Matthew Birkett and Darren Siegrist moved to Rockefeller along with client associates Hai Dang and Chris Iwamasa.
Merrill, Rockefeller Capital Management

Merrill Loses $3-Mln Team to Rockefeller in CA, $2-Mln Group to Texas RIA

2/26/21 | Advisor Moves, Breakaway Center, Most Read, News | 27 Comments

Group joining Rockefeller in Irvine had generated $3 million in revenue and follows Rockefeller’s hire last week of a $2.5 million Merrill team in Denver.

Read More

Advisor Moves, Breakaway Broker, Merrill Lynch, Rockefeller Capital, Vaquero
Montgomery, Alabama.
Merrill, Morgan Stanley

Merrill Lifer and His $4.4-Mln Alabama Team Jump to Morgan Stanley

2/23/21 | Advisor Moves, News | 10 Comments

Robert Runkle left for Morgan Stanley on Friday after 38 years with the Thundering Herd.

Read More

Advisor Moves, Alabama, Merrill Lynch, Morgan Stanley
Advisor considering independence
Bank of America, Merrill, Rockefeller Capital Management

Exclusive: Rockefeller Lures Merrill Private Wealth Regional Head in Chicago

2/22/21 | Advisor Moves, News | 12 Comments

Brett Thelander, a career Merrill manager who was running its ‘Mid-America’ private wealth region, will join Rockefeller after a 90-day garden leave, two sources said.

Read More

Advisor Moves, Bank of America, Brett Thelander, Chicago, Merrill Lynch, Rockefeller
Richeda, Farr, Nazzaro
RBC, Rockefeller Capital Management

Rockefeller Hires $2.5-Mln Merrill Team in CO, RBC Nabs Million-Dollar IL Producer

2/22/21 | Advisor Moves, News | 5 Comments

Colorado hire is Rockefeller’s 45th team since its founding while RBC picked up a Merrill broker who said he was frustrated at Merrill’s push to sell Bank of America products.

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Advisor Moves, Colorado, Illinois, Merrill Lynch, RBC, Rockefeller
Advisor Not Soliciting
JP Morgan, Merrill

Merrill Broker in N.J. Agrees to Customer Solicitation Ban

2/16/21 | News

Former JPMorgan Chase bank-based broker acceded to his former firm’s customer contact block but did not admit wrongdoing.

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Employment Law, JPMorgan, Merrill Lynch, New Jersey, Preliminary Injunction, TRO
Revolving door advisors
Morgan Stanley, UBS

Wire Wars: UBS Loses $3-Mln Broker to Morgan Stanley, Hires Merrill Trio in TX

2/10/21 | Advisor Moves, News | 7 Comments

UBS broker in New Jersey managing $460 million returns to Morgan Stanley after 11 years.

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Advisor Moves, Merrill Lynch, Morgan Stanley, Recruiting, UBS, Wire wars
Financial Advisor Team
Merrill, Morgan Stanley

Morgan Stanley Hires $7.5 Mln Merrill Private Wealth Team

2/9/21 | Advisor Moves, News | 2 Comments

Team includes two veterans who had spent nearly 50 years combined at Merrill and who managed $1.2 billion in assets.

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Advisor Moves, Florida, Merrill Lynch, Morgan Stanley, New Jersey, Recruiting
Russell May, Debra Gomez, Stephen DeBeer, Stevi Calhoun, Robert DeBeer, Lindsay Burke and Blake Hanna.
Stifel

Stifel Nabs Merrill Team Managing $1.35 Billion in Dallas

2/2/21 | Advisor Moves, News | 15 Comments

Group of four brokers had been generating $4.6 million in fees and commissions, according to the team leader.

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Advisor Moves, Dallas, Merrill Lynch, Recruiting, Stifel, Texas
Finra ruling
FINRA, Merrill

Arbitrator Grants Ex-Merrill Bank Broker’s Expungement, Calls Firing ‘Reckless’

2/1/21 | Enforcement, News | 9 Comments

A sole public arbitrator granted the former advisor’s request for expungement and said Merrill defamed the broker by not looking into the allegations behind a customer complaint before issuing the termination.

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Client Associate, Defamation, Employment Law, Enforcement, Finra, Merrill Lynch
Two Financial Advisors
Merrill, Morgan Stanley

Morgan Stanley Hires $2.6-Mln Merrill Lifers in Maryland

1/27/21 | Advisor Moves, News | 16 Comments

One week after losing a $2.6 million team in Atlanta to Janney Montgomery Scott, Morgan Stanley nabs two comparable producers near Baltimore from Merrill Lynch.

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Advisor Moves, Atlanta, Janney, Maryland, Merrill Lynch, Morgan Stanley
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Tony Sirianni Podcast Banner

CORONACRASH NEWS

  • Big U.S. Banks’ Vows to Halt Job Cuts End as Virus Endures

    Big U.S. Banks’ Vows to Halt Job Cuts End as Virus Endures

    Feb 26, 2021
  • Raymond James Executive: We’re Open to Flexible Work Arrangements for Advisors

    Raymond James Executive: We’re Open to Flexible Work Arrangements for Advisors

    Feb 25, 2021
  • Finra Bars Ex-Wells Broker Accused of Improperly Seeking Virus Relief Loan

    Finra Bars Ex-Wells Broker Accused of Improperly Seeking Virus Relief Loan

    Feb 12, 2021
  • RayJay Private Client Profit Dips 8%, Employee Channel Recruiting Slips

    RayJay Private Client Profit Dips 8%, Employee Channel Recruiting Slips

    Jan 28, 2021
  • Finra Scrutinizes Brokers Who Took PPP Loans for Potential Violations

    Finra Scrutinizes Brokers Who Took PPP Loans for Potential Violations

    Jan 25, 2021

NEWS

  • Judge Denies Ex-Morgan Stanley Boston Broker’s Bid for Early Prison Release

    Judge Denies Ex-Morgan Stanley Boston Broker’s Bid for Early Prison Release

    Mar 8, 2021
  • UBS Begins Appeal of $5 Billion Penalty in French Tax Case

    UBS Begins Appeal of $5 Billion Penalty in French Tax Case

    Mar 8, 2021
  • Morgan Stanley Bags $3.5 Million Wells Int’l Team in Arizona

    Morgan Stanley Bags $3.5 Million Wells Int’l Team in Arizona

    Mar 8, 2021
  • This Week’s Top 5: Wells Consolidates Regions, a $6-Mln Merrill Breakaway, And More

    This Week’s Top 5: Wells Consolidates Regions, a $6-Mln Merrill Breakaway, And More

    Mar 6, 2021
  • This Week in RIA M&A: Focus Adds Partner Firm as Other PE-Backed Buyers Strike

    This Week in RIA M&A: Focus Adds Partner Firm as Other PE-Backed Buyers Strike

    Mar 5, 2021

Recruiting Winners: 2020 Year in Review

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AllIndependence
The must listen-to podcast for financial advisors by Tony Sirianni. Guests to include:
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and many more
Michael Kitces and Carl Richards discuss financial advising topics.
The “new advice value stack,” and how firms can use it to help maximize their own value propositions for their clients.
Interviews and insights for advisors curious about switching to a new broker dealer.
The Brighthouse Financial Insights Panel is a group of leading, independent experts providing powerful insights into the big challenges facing you and your clients.
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.
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.
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An Introduction to Independence: 5 Key Episodes to Jumpstart Your Knowledgebase
Jay is an investment strategist, CERTIFIED FINANCIAL PLANNER™ and business consultant to financial advisors.
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.
Suzanne Siracuse asks the questions nobody else asks, as influencers and interviewer collide in her new and truly unique podcast series The Big Reveal.
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.

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