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          • Financial AdvisorFired by Wirehouse for Unapproved Outside Business, Texas Broker Relocates to Stifel
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Morgan Stanley

The latest headlines in wealth management.

Financial Advisor
3/4/21 | Advisor Moves, Most Read, News | Morgan Stanley, Raymond James, Stifel

Fired by Wirehouse for Unapproved Outside Business, Texas Broker Relocates to Stifel

Advisor Incentives
Ameriprise, LPL, Morgan Stanley

Recruiting Loans Climb at Ameriprise, LPL

3/3/21 | Most Read, News

Ameriprise recorded a 10.8% year-over-year increase in forgivable recruiting loans in 2020, while LPL’s loan balances climbed 24%.

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Ameriprise, Financial recruiting, Headhunters, independent brokers, LPL Financial, Morgan Stanley
Morgan Stanley
Morgan Stanley

Morgan Stanley’s Recruiting Loan Balance Jumps Back Above $3 Billion

3/1/21 | News | 2 Comments

The firm’s employee loan balance rose for the first time in eight years as it has jumped back into veteran broker recruiting.

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broker recruiting, forgivable loans, hiring offers, Morgan Stanley, recruiting loans, UBS
Dining expense
FINRA, Morgan Stanley

Finra Dings Ex-Morgan Stanley Broker in Los Angeles over Expense Lapse

2/26/21 | Enforcement, News | 2 Comments

Advisor and local restaurateur Kerry Moy accepted a two-month suspension and $5,000 fine for allegedly including the wrong names of attendees on business meals when seeking reimbursement.

Read More

Enforcement, expense report, Finra, Kerry Moy, Los Angeles, Morgan Stanley
FINRA, Morgan Stanley

Morgan Stanley Faces $5 Million Claim from NBA Star Chandler Parsons

2/23/21 | News | 6 Comments

The filing appeared on the record for a California broker and managing director who is part of Morgan Stanley’s Sports and Entertainment Group.

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Arbitration, California, Chandler Parsons, Finra, Morgan Stanley, Nyjer Morgan
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 Moves
Morgan Stanley, Wells Fargo

Wells Fargo Lures $3.9-Mln N.J. Team from Morgan Stanley

2/19/21 | Advisor Moves, News | 1 Comment

Group led by Stan Alpert and Gregg Kaufman had overseen $725 million in assets at Morgan Stanley.

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Advisor Moves, Morgan Stanley, Wells Fargo Advisors, Wirehouse Recruiting
Advisor Moves
Morgan Stanley, Raymond James

Billion-Dollar Florida Broker Ousted from Morgan Stanley to Join RayJay

2/19/21 | Advisor Moves, News

Richard Altieri, a Chairman’s Club producer pushed out last week over alleged procedural lapses, has agreed to join Raymond James’ employee branch channel.

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Advisor Moves, Chairman’s Club, Morgan Stanley, Raymond James
Inherited accounts
FINRA

Finra Bars Morgan Stanley Veteran Fired over Inherited Accounts

2/17/21 | News | 7 Comments

Broker who was discharged after 23 years for failing to share account credits with retired advisor gets lifetime bar from regulator.

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Enforcement, Finra, Inherited Accounts, Morgan Stanley, Retired Advisor, Sales Practices
Advisor fired
Morgan Stanley

Morgan Stanley Pushes Out Chairman’s Club Broker in Boca Raton

2/12/21 | News | 9 Comments

Richard Altieri, who had been managing $953 million, according to Barron’s, left under pressure this week after more than three decades at Morgan Stanley and its Smith Barney predecessor.

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Barron’s List, Boca Raton, Chairman’s Club, Employment Law, Florida, Morgan Stanley
Advisor Layoff
Morgan Stanley

Morgan Stanley Said to Usher Out Long-Tenured Advisor in Texas

2/11/21 | News | 9 Comments

Unexpected departure of Dallas-area broker whose team produced around $3 million appears related to unapproved outside business activities, sources said.

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Compliance, Dallas, Morgan Stanley, Outside Business, Outside Investment, Texas
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
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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

  • 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
  • Rockefeller Lassoes Merrill Texas Team with Nearly $5-Mln Revenue

    Rockefeller Lassoes Merrill Texas Team with Nearly $5-Mln Revenue

    Mar 5, 2021
  • Goin’ Up? Wells Fargo Team Moves Seven Floors to UBS in San Diego

    Goin’ Up? Wells Fargo Team Moves Seven Floors to UBS in San Diego

    Mar 5, 2021
  • Wells Fargo to Merge Wealth Management Sales Regions

    Wells Fargo to Merge Wealth Management Sales Regions

    Mar 4, 2021

Recruiting Winners: 2020 Year in Review

FINANCIAL INDUSTRY PODCASTS

AllIndependence
The must listen-to podcast for financial advisors by Tony Sirianni. Guests to include:
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-Penny Pennington
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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.
The must listen-to podcast for investors, venture capitalists and financial advisors, with Tony Sirianni and Paul Dietrich.
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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