Kevin Webber and Daniel Brodlieb were drawn to Raymond James for its “unique culture that celebrates and nurtures independent advice”
U.S. retail brokerages still managed to enjoy revenue growth during the first quarter
Wellington-Altus is on the hunt for entrepreneurial advisors
The firm as entered into an agreement with C. Hoare & Co. to acquire its investment dealing and custody business
Further consolidation could alter current industry dynamics
Edward Jones’ goal is to have an advisor in every community
Dealers should maintain an updated list of advisors who work from home, which a department of the SRO could use as it plans compliance exams
The newly renamed firm follows the completion of the business’s acquisition from Dundee Corp. by an employee-owned partnership
The measures will mean cost savings for dealers and relief for investors in the province
The small investment dealer, which is selling most of its business to Hampton Securities, must cease dealing with the public as of Jan. 23