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 * News
     
   * * Latest News
         
       * * Another Ex-Morgan Stanley Broker Settles Finra Charge over Inherited
           Account Coding
       * * Goldman Sachs CEO David Solomon’s Pay Rockets to $35 Million
       * * This Week’s Top 5: Merrill Fires CT Broker Over Biased Tirade, Broker
           to Morgan Stanley CEO Exits, And More
       * * Ex-J.P. Morgan Bank Broker Sought $5M Bequest, Instead Gets $7.5K
           Fine and Suspension
         
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     * Advisor Moves
         
       * * Hightower Pursues Two Defectors For Allegedly Wooing Clients to New
           Firms
       * * Rockefeller Lands $4.4 Million Merrill Team in Chicago
       * * Morgan Stanley Nabs UBS Broker with $371-Mln Book in FL, Loses to LPL
           in NJ
       * * Wells Fargo Hires $2-Mln J.P. Morgan Advisors Broker in Los Angeles
         
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     * Enforcement
         
       * * Costly Affairs: Ex-UBS Broker Stole $5.8M from Client, SEC Claims
       * * Morgan Stanley Reaches $60 Million Settlement in Data Breach Suit
       * * Finra Dings Ex-Morgan Stanley Broker in Inherited Account Coding Case
       * * Merrill Fined $1.2 Million Over Delays in Complying with Finra
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     * Markets
         
       * `Nothing Safer Than Cash’: Tech Rout Puts Silicon Valley on Edge
       * ‘Any News Is Bad News’ as Earnings Fail to Save Equity Bulls
       * ‘50 Cent’ Profited From Volatility Jump, Wells Fargo Says
       * ‘Beaten Down’ ETF Is a Way to Play Inverted Curve, BofA Says
         
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     * Opinion
         
       * * Sirianni’s 2022 Predictions: The Year of The Great Entrepreneur
           Revival
       * * Why Only a Huge Shock Will Deter Risk-Taking Investors
       * * Sirianni: Toxic Culture
       * * Opinion: Coronavirus – What Advisors Need to Know
         
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     * Fintech News
         
       * * UBS “Committed” to Finishing Broker Workstation Revamp Despite
           Delays, CFO Says
       * * Wells Fargo Advisors Rolls Out eMoney Planning Tool for Brokers
       * * Fintech Firm Apex Clearing Agrees to Go Public Via SPAC
       * * Merrill Systems Hiccuped on Thursday as Stocks Slid
         
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     * From the Publisher
         
       * * Sirianni’s 2022 Predictions: The Year of The Great Entrepreneur
           Revival
         * Tony Sirianni Interviews Ken Cella — Principal, Client Strategies
           Group at Edward Jones
       * * Sirianni: Death of the Trainee
         * Welcome to AdvisorHub RIA
       * * From the Publisher: Sirianni’s Predictions for 2021
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Search for: Search

Another Ex-Morgan Stanley Broker Settles Finra Charge over Inherited Account
Coding
Ex-J.P. Morgan Bank Broker Sought $5M Bequest, Instead Gets $7.5K Fine and
Suspension
$3.2-Mln Merrill Team Jumps to UBS in TN, Another in AL Joins Morgan Stanley


MUST READ

Most Read

BofA Advisor Roster Shrinkage Will Cease: Moynihan
Video

AHTV Zoom Call: Jeff Crosby — Founder and CEO, 3xEquity
Markets Resource

Paul Dietrich’s Market Commentary – B. Riley Wealth Management: January 24, 2022
Market Update
News

Goldman Sachs CEO David Solomon’s Pay Rockets to $35 Million


Video

Spreading the Wealth Through Ownership
Video

The Four Pillars
Video

2021 Summit: Opening Remarks – Tony Sirianni, AdvisorHub


ADVISORHUB MAGAZINE

Magazine Article

Fixed Income Investment Strategies: 4 Ways to Mitigate Inflation Risk
Magazine Article

AH Meet The Custodian: Steve Sanders, EVP, Marketing and Product Development at
Interactive Brokers
Magazine Article

Latest Hire Reinforces LPL Financial’s Continued Rise in the Custody Business
Magazine Article

Building a Bridge Between Women and Wall Street



RECRUITMENT & MOVES

Recruiting Wire
See Which Firms Are Winning the Recruiting Wars
AdvisorHub Offers
Secure Multiple Offers From Top Broker-Dealers
Deal of the Day
Edwards’ strong fiscal foundation and timeless values enable it to be a firm of
“Client-First Service Second-to-None,” offering sincere support advisors like
you deserve.
Press Release

InTouch Wealth Advisors Joins Cetera


UPFRONT DEALS AND COMP

1. RBC Wealth Management
Dec 29, 2021
2. Stifel
Nov 14, 2016
3. Benjamin F. Edwards
Sep 13, 2021
4. Edwards Wealth Management
Sep 13, 2021
5. Kestra Private Wealth Services
Jun 22, 2021
6. B. Riley Wealth Management
Aug 9, 2018
7. Mariner Wealth Advisors
Jul 14, 2020
8. First Clearing
Jun 2, 2021
9. D.A. Davidson
Mar 14, 2018
10. Dynasty Financial Partners
Nov 14, 2016
11. Ameriprise Advisor Group
Jun 22, 2021
12. Ameriprise Independent Advisors
Jun 22, 2021
13. Pinnacle Investments
Jun 9, 2021
14. Janney
Nov 14, 2016
15. LPL Financial
Nov 14, 2016
16. Mariner Platform Solutions
Jul 14, 2020
17. Prudential Advisors
Aug 14, 2020
18. Steward Partners
Nov 11, 2016



BREAKAWAY CENTER

Breakaway Center

Are You a Breakaway Advisor? 5 Reasons To Consider Independence
If you’re a wirehouse advisor thinking about going independent, you’re not
alone. Many like you have made the leap in order to take control of...
Breakaway Center

Commonwealth: The Advisor Glide Path – How to Get to Fee-Only
Getting to fee-only might not be as challenging as you think. True, dropping
your FINRA registrations is a big decision that requires you to weigh...
Breakaway Center

Commonwealth: The Costs of Going Independent [Infographic]
If you’re contemplating breaking away from a wirehouse for the independent
channel, a key factor to evaluate is how your compensation will change. But
beware:...
Breakaway Center

$18-Mln UBS Team Led by Top-Ranked Alabama Broker Breaks Away to Launch RIA
A UBS Wealth Management USA team producing $18 million in annual revenue and led
by a top-ranked broker in Birmingham, Alabama left the wirehouse to...


DIVERSITY AND INCLUSION

Diversity and Inclusion

Tony Sirianni Interview: Joely Meighan – Regional Director at D.A. Davidson &
Co.
Our publisher sat down with Joely Meighan, D.A. Davidson’s newest Regional
Director. With 25 years of experience, Joely shares her thoughts on diversity in
the...
Diversity and Inclusion

A Resource to Many and a Woman on the Move
Get to know Carmen Gary, Senior Vice President, Chief of Staff, D.A. Davidson
Companies. Carmen offers a peek inside her day and some solid advice...
Diversity and Inclusion

Why RIAs Need to Get Serious About Diversity & Inclusion
While news channels and protests have reminded us all of the systemic injustices
in our country, we have witnessed organizations of all kinds offering public...
Diversity and Inclusion

Sirianni: A Reckoning on Race and Gender
As our industry works to meet the challenge of the national debate on issues of
race and gender, firms are scrambling to recommit themselves to...


RIA CENTER

RIA Resource Center

What to Expect When Transitioning to Independence
  The day advisors leave their previous firm is one they never forget. Here are
their experiences.
RIA Resource Center

Today in tech: what clients expect and how you can give it to them
Tech is redefining the ideal client experience. Explore how it can make a big
impression here. LEARN MORE
RIA Resource Center

Transitioning in a pandemic: How Brad put his doubts aside and leapt toward
independence
Brad Goodwin’s transition to independence isn’t just a great story to tell, it’s
a case study in overcoming fears. He made the leap of faith...
RIA Resource Center

4 ways technology makes your client experience more personal, not less
  Remember when the "robo-advisor" was supposed to take over the financial
advice industry? It didn't happen, at least not in the way that pundits...


MOST READ

1. Costly Affairs: Ex-UBS Broker Stole $5.8M from Client, SEC Claims
Jan 25, 2022
2. Hightower Pursues Two Defectors For Allegedly Wooing Clients to New Firms
Jan 24, 2022
3. Merrill Fires Top-Ranked Connecticut Broker Arrested over Bias Incident at
Smoothie Shop
Jan 23, 2022
4. BofA Advisor Roster Shrinkage Will Cease: Moynihan
Jan 19, 2022
5. Morgan Stanley CEO Boosts Wealth Margin Target to 30%-Plus
Jan 19, 2022



EVENTS

1. 2022 FSP Institute
Jan 31, 2022
2. FSI OneVoice 2022
Jan 31, 2022
3. Exchange: An ETF Experience
Feb 13, 2022
4. LLIS Insurance Academy 2022
Feb 23, 2022



PODCASTS

Podcast

A Conversation with Jeff Crosby — Founder and CEO, 3xEquity
[caption id="attachment_114851" align="alignright" width="300"] CEO and founder
of 3xEquity, Jeff Crosby[/caption] This week, AdvisorHub’s CEO, Tony Sirianni
talks with Jeff Crosby — Founder and CEO...
Featured Podcast

Don’t Expect the Fed to End This Bull Anytime Soon
LPL Research discusses what impending Fed rate hikes could mean for stocks in
the latest Market Signals podcast.  LISTEN TO ADDITIONAL EPISODES IN THIS...
Featured Podcast

Kitces and Carl: Virtual or In-Person Meetings – What Do Clients Really Want?
Traditionally, financial planning meetings were held in person, which created
intimacy, but limited an advisor's clientele to those who could physically get
to their office....
Featured Podcast

A March Hike Is Live
LISTEN TO ADDITIONAL EPISODES IN THIS SERIES    


RECRUITING WIRE SCOREBOARD

Powered by  

Recruiting Winners
AUM ($ MLN)
1. Rockefeller Capital Management
$1,930

2. LPL Financial
$1,025

3. RBC Wealth Management
$500

4. Morgan Stanley
$500

5. JPMorgan Chase & Co.
$285

View Full List >
Recruiting Losers
AUM ($ MLN)
1. Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1,638

2. Morgan Stanley
$1,300

3. D.A. Davidson & Co.
$750

4. Wells Fargo
$405

5. Raymond James
$285

View Full List >
Recruiting Champs (net)
AUM ($ MLN)
1. Rockefeller Capital Management
$1,930

2. LPL Financial
$1,025

3. RBC Wealth Management
$500

4. JPMorgan Chase & Co.
$285

5. Kingsview Partners
$130

View Full List >


HEADLINE NEWS

News

This Week’s Top 5: Merrill Fires CT Broker Over Biased Tirade, Broker to Morgan
Stanley CEO Exits, And More
Merrill Fires Top-Ranked Connecticut Broker Arrested over Bias Incident at
Smoothie Shop A now-former Merrill Lynch broker in Stamford, Connecticut was
arrested on Saturday after...
News

Robinhood Revenue Misses Estimates on Weaker Stock Trading
(Bloomberg) -- Robinhood Markets Inc. reported fourth-quarter revenue that fell
short of Wall Street estimates as equities trading declined and provided a
revenue forecast for...
News

Retirements Trim Raymond James’ Broker Roster; Ameriprise Adds 85
Raymond James’ Private Client Group broker roster slipped by a net 18 advisors
in the last three months to 8,464, the company said Thursday. The...



FINTECH

Fintech
Fintech Product Directory
Browse this directory of innovative fintech and wealthtech solutions to find
what fits the unique needs of your business.
Fintech Resources
Cetera’s Insurance Tech Integration Drives Growth

Fintech News

UBS “Committed” to Finishing Broker Workstation Revamp Despite Delays, CFO Says
UBS Group AG is still committed to finalizing a revamp of its broker
workstations in the U.S. despite a series of challenges and revisions in...
Fintech Tools
ViewTrade Institutional
An all-inclusive platform thoughtfully designed for registered investment
advisors, hedge funds, wealth managers, TAMPS, FinTech platform providers and
breakaway teams.


LATEST COMMENTS

42-Year Merrill Lifer and Son Move Their $500-Mln AUM Team to RBC
Roughly 200 billion in lost revenue over the past 5 years cumulativly that would
have covered the margin promised to BAC. But the answer is to pay Seig bonuses
and hide the loss from the shareholders.
Tom
Rockefeller Hires $2.1-Mln Stephens Broker, Morgan Stanley Nabs $1-Mln Merrill
Producer
Ascendant, You’ve got it wrong. MS is the old ML. There is NO push to do
banking, no 3% monthly ‘hit’, (shame on that rule), No +2% or -2%, hardly any
‘mandatory notes’, hardly any ‘mandatory annual reviews’, no withholding of
commissions. They are a...
HappyatMS
EXCLUSIVE: Merrill Rolls Out ‘Project Thunder’ Campaign to Soothe Broker Qualms
A “project” that will last 2 months to fix years worth of mismanagement? It’s
like quitting smoking for 2 months and expecting it to fix years worth of
damage. They supposedly fixed the 24 hour trading rule - no need to wait 24
hours to...
Common Sense


PODCASTS

 
The must listen-to podcast for financial advisors by Tony Sirianni. Guests to
include:
-Ron Kruszewski
-Shirl Penney
-Penny Pennington
-Eric Clarke
and many more

Valuable information and insight for entrepreneurs and financial advisors.
There’s a new breed of modern advisors who want to make a difference and do
something meaningful.
LPL Financial Research Chief Market Strategist Ryan Detrick and guests discuss
current market trends and outlooks, and share insightful projections each week.
Michael Kitces and Carl Richards discuss financial advising topics.
Incisive conversations focused on helping investors navigate the ever-changing
global market landscape
Our goal is to unlock the challenges to reveal the opportunities and what it
means to provide advice in the 21st century.
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.
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.
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.
The “new advice value stack,” and how firms can use it to help maximize their
own value propositions for their clients.
No More Entries


MARKETS

Markets Resource

Paul Dietrich’s Market Commentary – B. Riley Wealth Management: 2022 Economic &
Stock Market Predictions
Markets Resource

Paul Dietrich’s Market Commentary – B. Riley Wealth Management: The Stock
Market, Economic Growth, and Covid Omicron
Markets Resource

Paul Dietrich’s Market Commentary – B. Riley Wealth Management: U.S. Economy Is
Booming – But Investors Are Distressed
Corporate profits are at record levels driven by strong consumer demand, yet
many American investors are pessimistic. Chief Investment Strategist Paul
Dietrich’s latest commentary offers...
Markets Resource

Paul Dietrich’s Market Commentary – B. Riley Wealth Management: Fourth Quarter
Market Update
In his October comments, Chief Investment Strategist Paul Dietrich discusses the
impact that continued Covid fears and global supply chain delays will have on
market...
Sectors

Nasdaq Volatility Is New Gut Check for Bottom Feeders
(Bloomberg) -- Is it lion-like courage, or sheep to the slaughter? That’s the
question for retail dip-buyers who keep hurling fresh cash at increasingly
turbulent...


DATA & RESOURCES

AH Institute Courses

Resources for you to revisit the basics, brush up on technical topics, or
prepare for an exam.

Podcasts

AdvisorHub delivers the financial podcasts you need to keep your career on
track. Stay informed with the latest from those in the know in the financial
industry.

Deals and Compensation

Research deals, compensation and payouts for wirehouses, RIA’s, independent and
regional firms.


SPOTLIGHT

News

Ex-Edward Jones Broker Borrowed $150K From Client for Ailing Golf-Cart Business:
Finra
The Financial Industry Regulatory Authority has fined and suspended a former
Edward Jones broker in Indianapolis who borrowed $150,000 from a client to pay
off...
News

Bitcoin’s Inflation-Hedging Credentials Tested by Fed Resolve
(Bloomberg) -- Bitcoin is proving that it’s not immune to uncertainty around the
Federal Reserve’s ability to cool the hottest inflation in nearly 40 years...
Resources

Benjamin F. Edwards: Companies Less Impacted by Inflation Could Be a Smart
Choice Amid Market Volatility
The recent decline in U.S stocks , particularly against the backdrop of surging
Covid cases, has left many investors unnerved. Tuesday (Jan. 18), the Dow...
News

Stephens Wins $18.2 Million in Raiding Claim Against Ben Edwards
In a split decision, Stephens, Inc. won nearly $18.2 million in an arbitration
claim accusing regional brokerage competitor Benjamin F. Edwards & Company of
raiding...

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