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Articles

Finra Mulls Tweaking Eligibility Requirement for Remote Brokers, Supervisors

19 hours ago | advisorhub.com | Miriam Rozen

The Financial Industry Regulatory Authority is “really open” to changing a key sticking point for firms in its residential supervisory location rule that took effect almost one year ago, one of the regulator’s lawyers told an audience during its annual conference in Washington, D.C. Specifically, Finra would consider modifying the requirement that brokers have one year of supervisory experience to have a home office that only needs to be inspected once every three years instead of annually,...
Morgan Stanley Ejects Broker on Billion-Dollar Houston Team Over Real Estate Deal

1 day ago | advisorhub.com | Miriam Rozen

Morgan Stanley has discharged a 17-year industry veteran whose $1-billion Houston team had risen to 37 this year on Forbes’ best-in-state rankings. The wirehouse in March cited “concerns” about Erich A. Canseco’s involvement in and benefit from a “private real estate transaction between two firm clients,” according to his BrokerCheck record.
Sanctuary Snags Florida-Based UBS Team Managing $2 Billion

2 days ago | advisorhub.com | Ali Hibbs

A 12-person UBS Wealth Management USA team overseeing around $2 billion in client assets across offices in Florida, Ohio and South Carolina has left to join independent broker-dealer and advisory firm Sanctuary Wealth. The practice, called 1280 Financial Partners, is led by Thomas L. Burt, Duane C. Ohly, Charles I. Todd and John T. McGee, according to an announcement. They joined Sanctuary as independent contractors and sold a minority stake in their practice to the firm.
Wells Fargo Has Big Plans for New York Branches as Scandals Fade

5 days ago | advisorhub.com | Beth Alegret

Inside Wells Fargo & Co.’s newest branch in New York City, steps from Central Park, Charlie Scharf was talking up plans to expand his bank’s network across the Big Apple. “I’m a little biased because I’m a New Yorker, but New York has really great opportunities for us,” the chief executive officer said at the branch — its fourth opened in the city in as many months.
LPL CEO Wines, Dines, Takes ‘Rain-Soaked Bike Rides’ to Woo Commonwealth Brokers

6 days ago | advisorhub.com | Miriam Rozen |Mason Braswell

LPL Financial Chief Executive Officer Richard C. Steinmeier adhered on Thursday evening to a rosy forecast that his company will retain 90% of Commonwealth Financial Network’s advisor roster when it finalizes its proposed $2.7 billion purchase of the company.
Activating Plan B: Wirehouse Breakaways Build a Legacy Family Wealth Office

6 days ago | advisorhub.com | Mindy Diamond

With Trent Leyda, Managing Director and Chief Investment Officer and Kay Campione, Executive Director and Senior Portfolio Manager at SpirePoint Private ClientTrent Leyda and Kay Campione offer a unique perspective on their time at Morgan Stanley, how it had come to diverge from their vision of building a family office they would entrust with their own families’ wealth, and how they are better equipped to realize that vision as an independent firm.
Women in Power: 5 Secrets From A Life In The CIA

1 week ago | advisorhub.com | Chad Petie

At our recent Women Advisors Summit attendees were treated to keynote speaker Carol “Rollie” Flynn, president of The Arkin Group and a former career CIA officer. Flynn shared powerful stories and practical strategies from her time in the intelligence world—lessons with surprising relevance to business and personal development. Flynn opened by dispelling some Hollywood myths about the CIA. “There are a lot of misconceptions,” she joked, referencing shows like Homeland and The Americans.
Wall Street Brokers Risk Losing Billions in Fees on SEC Shift

1 week ago | advisorhub.com | Beth Alegret

A potential regulatory shift in favor of the ETF industry is expected to shake up the business models of Wall Street brokers, with billions of dollars in revenue at stake. Wirehouses and broker dealers risk losing between $15 billion and $30 billion a year in fees that they currently collect from the mutual funds they offer to customers, according to a report released Thursday by Cerulli Associates.
Separating Myth From Reality When Joining an OSJ

1 week ago | advisorhub.com | Jeff Nash

The Office of Supervisory Jurisdiction, or OSJ, has been a staple of the broker-dealer community for decades. In an industry where advisors constantly weigh the responsibilities and freedoms accompanying independence, the OSJ model strikes a Goldilocks-like balance between the two that many advisors consider “just right.” However, like an extra layer of clothing in winter, it can both protect and constrain advisors who have chosen to operate within the model.
Maximizing Your Firm’s Value: Insights on Succession, Sale, and Transition

1 week ago | advisorhub.com | Chad Petie

The wealth management industry is experiencing a wave of transitions, sales, and successions, making preparation more crucial than ever. That was the focus of a recent webinar, Maximizing Your Firm’s Value: Preparing for Succession, Sale or Transition, hosted by Suzanne Siracuse, founder and CEO of Suzanne Siracuse Consulting.