NASAA Names New Director of Policy
By Melanie WaddellKristen Hutchens played a key role in securing the recent introduction of a recent senior-protection bill.
January 10, 2022
Raymond James Hires Private Wealth ChiefKevin Ruth, who's worked at Fidelity, Merrill and UBS, will focus on advisors and efforts to best serve HNW and UHNW clients.
January 04, 2022
SEC's Gensler Taps Capitol Hill Veteran for Crypto RoleCorey Frayer, most recently a senior Senate Banking Committee staffer, will advise Gensler on cryptocurrency oversight.
December 23, 2021
Merrill Revamps Wealth Management LeadershipThe unit named Lindsay Hans and Chandler Root as new division executives, according to Merrill President Andy Sieg.
December 02, 2021
Oppenheimer & Co. Names New PresidentRobert Lowenthal has been promoted to president of Oppenheimer Holdings and Oppenheimer & Co.
November 29, 2021
Raymond James Hires Edward Jones Exec to Lead RecruitingRobert Moseley will lead the advisor recruiting platform for the firm, which had close to 8,500 advisors Sept. 30.
November 18, 2021
Thomas H. Lee Advisory Partner Buys Stake in $2B Austin RIAKent Weldon, who is also a Morgan Stanley alum, is backing an RIA led by Merrill Lynch veteran Russ Norwood.
November 03, 2021
PIABA to Push SEC to Revise Form CRS, New President SaysFirms should be required to disclose information on mandatory arbitration clauses and their ability to pay claims, Michael Edmiston says.