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Kestra

Finra sign
2/16/21 | Advisor Moves, News | FINRA, Kestra, Waddell & Reed

Finra Sidelines Two Brokers who Took Client Info to New Firms

Advisor Moves
Kestra, Morgan Stanley

High-Producing Boston Broker Joins Kestra After Morgan Stanley Departure

12/3/20 | Advisor Moves, News | 1 Comment

Chairman’s Club advisor who Morgan Stanley reportedly eased out last month becomes an independent broker after 25 years with wirehouses.

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Kestra

Kestra PWS Posts Best-Ever Recruitment Quarter in Q2, Attracts $845 Million

8/7/20 | Press Release

AUSTIN, Texas — Kestra Private Wealth Services, LLC (Kestra PWS), a registered investment adviser subsidiary of Kestra Financial, Inc. (Kestra…

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Advisors Independence Day
Finet, Kestra, Raymond James, Seventy2 Capital, Steward Partners, True Alpha, UBS

Independence Day: Six UBS Brokers in Three Regions Join Indie Firms

7/2/20 | News | 15 Comments

UBS brokers in Ohio, Florida and Maryland collectively managing about $850 million of client assets leave for firms affiliated with RayJay, Wells and Kestra.

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FINRA sign
FINRA, Kestra

Finra Fines Kestra Over Recruiting Practice Jeopardizing Customer Privacy

4/29/20 | Enforcement, News

Brokers who moved between 2017 and 2019 worked with third-party vendor on populating account-transfer spreadsheets without receiving customer approval.

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Merrill-Team-Managing-300-Million-In-Northern-Ohio-Goes-Indie
Bank of America, Kestra, Merrill Lynch, Raymond James

Merrill Team Managing $300 Million in Northern Ohio Goes Indie

6/3/19 | Advisor Moves, News | 8 Comments

Team in Sandusky affiliates with Raymond James while their former Merrill office sits dormant.

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Kestra Unit Recruits Some UBS Vets to an RIA Platform
Kestra, UBS

Kestra Unit Recruits Some UBS Vets to an RIA Platform

6/8/18 | Advisor Moves

Rhode Island team that was managing about $340 million joins independent broker’s “private client group,” an RIA aiming to provide more support and lower payout than in a traditional Kestra arrangement.

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Prexit, RIA
Wells Seeks TRO Against Four FAs Affiliated with Kestra-772x485
Kestra, Wells Fargo

Wells Seeks TRO Against Four FAs Affiliated with Kestra

5/31/18 | News | 3 Comments

New Jersey team, which went independent in April after decades at Wells and predecessor firms, allegedly took client data in violation of company rules, privacy laws and the Protocol for Broker Recruiting.

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Prexit, TRO

Tony Sirianni Podcast Banner

CORONACRASH NEWS

  • Fed to End Covid-19 Capital Break It Gave Wall Street Banks

    Fed to End Covid-19 Capital Break It Gave Wall Street Banks

    Mar 19, 2021
  • Credit Suisse Replaces U.S. Exec, Halts Bonuses as Clients Fume

    Credit Suisse Replaces U.S. Exec, Halts Bonuses as Clients Fume

    Mar 18, 2021
  • Firing of Billion-Dollar Broker Sends Warning on Work-from-Home Compliance

    Firing of Billion-Dollar Broker Sends Warning on Work-from-Home Compliance

    Mar 12, 2021
  • 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

NEWS

  • This Week’s Top 5: Merrill Targets Seasoned Brokers in Key Markets, J.P. Morgan Advisors Replaces CEO, and More

    This Week’s Top 5: Merrill Targets Seasoned Brokers in Key Markets, J.P. Morgan Advisors Replaces CEO, and More

    Apr 17, 2021
  • Focus Financial Cuts Exec Comp, CEO Pay Falls 16.6%

    Focus Financial Cuts Exec Comp, CEO Pay Falls 16.6%

    Apr 16, 2021
  • Morgan Stanley Net New Assets Hit Record $105 Billion in First Quarter

    Morgan Stanley Net New Assets Hit Record $105 Billion in First Quarter

    Apr 16, 2021
  • Rockefeller Lures $2.2-Million Merrill Team in Michigan

    Rockefeller Lures $2.2-Million Merrill Team in Michigan

    Apr 16, 2021
  • Morgan Stanley Burned by $911 Million Hit on Archegos Blowup

    Morgan Stanley Burned by $911 Million Hit on Archegos Blowup

    Apr 16, 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:
-Ron Kruszewski
-Shirl Penney
-Penny Pennington
-Eric Clarke
and many more
Incisive conversations focused on helping investors navigate the ever-changing global market landscape
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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