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AdvisorHub AdvisorHub is the first of its kind resource committed to the success and growth of the financial advisor's practice. AdvisorHub aims to be the financial advisors’ advocate and voice by providing a definitive source for breaking news, relevant products and services, critical compensation data, and a safe forum for them to share best practices and growth strategies.

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Welcome to 2022, a year of continued change and transition, where trends are merging and melding into what we can fairly...
01/12/2022

Welcome to 2022, a year of continued change and transition, where trends are merging and melding into what we can fairly start to call the new advisor paradigm. Read Sirianni’s 2022 Predictions: The Year of The Great Entrepreneur Revival. http://ow.ly/5wOP50HsnpN

By the end of the year, more than 500 million people worldwide will own bitcoin.
01/12/2022
Edelman’s 22 Predictions for Digital Assets in 2022 - AdvisorHub

By the end of the year, more than 500 million people worldwide will own bitcoin.

Ric Edelman, founder of mega-RIA Edelman Financial Engines, has been one of the industry’s most outspoken advocates for exponential technology. Now, he has released 22 predictions for 2022.

Some final photos of our event 2 weeks ago, we can't wait to see you all again next year!
12/01/2021

Some final photos of our event 2 weeks ago, we can't wait to see you all again next year!

Some more photos from our event two weeks ago! #AHSummit21
11/30/2021

Some more photos from our event two weeks ago! #AHSummit21

A New York City broker who left last year after allegedly running afoul of Merrill Lynch’s do-not-call policies has clea...
11/29/2021
Ex-Merrill Broker Clears Record of “Defamatory” Do-Not-Call Allegations - AdvisorHub

A New York City broker who left last year after allegedly running afoul of Merrill Lynch’s do-not-call policies has cleared his record after an arbitrator found the wirehouse’s claim “false” and “defamatory.” http://ow.ly/XlUl50GYUM7

The arbitrator said Merrill presented “no evidence” to back up the U5 that it had filed against Lawrence C. “Casey” Ennis, a seven-year broker who left Merrill last year for Morgan Stanley. Read More

Some more photos from our Advisorhub Industry in Transition Summit! #AHSummit21
11/29/2021

Some more photos from our Advisorhub Industry in Transition Summit! #AHSummit21

Looking to capitalize on the Thanksgiving holiday week to contact customers while former colleagues spend time with fami...
11/24/2021
Turkey Trot: $325 Million-AUM Gobble Team Flies the Wells Coop for Stifel - AdvisorHub

Looking to capitalize on the Thanksgiving holiday week to contact customers while former colleagues spend time with family, a father-son team with a seasonally appropriate name and $325 million-asset book has departed Wells Fargo Advisors for Stifel, Nicolaus & Co. http://ow.ly/G4qf50GVTqm

Father-and-son Claud and Taylor Gobble, have left Wells Fargo Advisors in Las Cruces, New Mexico, to join a Stifel, Nicolaus & Co. branch opened in April.

The Financial Industry Regulatory Authority sent another warning to brokers this week on off-the-books fundraising and u...
11/24/2021
Finra Suspends Wirehouse Vet in Ohio for a Year Over Outside Investments - AdvisorHub

The Financial Industry Regulatory Authority sent another warning to brokers this week on off-the-books fundraising and undisclosed outside businesses with a one-year suspension and $12,500 fine against a 25-year brokerage veteran in Beavercreek, Ohio. http://ow.ly/fYgm50GVHtR

Former Merrill broker who joined Cetera in 2019 raised $1 million from customers for a pooled real estate fund and a software company without telling his firm.

We had a great time at our Advisorhub Industry in Transition Summit last week - here are a few photos of those who were ...
11/23/2021

We had a great time at our Advisorhub Industry in Transition Summit last week - here are a few photos of those who were able to join us in person! #AHSummit21

A former UBS Wealth Management USA broker in yearslong litigation with the wirehouse over a whistleblower retaliation cl...
11/23/2021
Ex-UBS Whistleblower Wins $650K from Former Teammates for Defamation - AdvisorHub

A former UBS Wealth Management USA broker in yearslong litigation with the wirehouse over a whistleblower retaliation claim has won $650,000 in damages on a corollary defamation claim he brought against two former officemates. http://ow.ly/Jh9E50GUMnb

Craig D. Price, fired from UBS in February 2016, claimed his former officemates Raymond C. Klahne and William J. Gilcher told his customers after his discharge that Price engaged in “criminal” activities and was not to be trusted.

A once high-ranked Los Angeles broker has agreed to a two-month suspension and $20,000 fine over allegations that he had...
11/22/2021
Finra Sidelines Former J.P. Morgan Beverly Hills Broker over Inaccurate Reports - AdvisorHub

A once high-ranked Los Angeles broker has agreed to a two-month suspension and $20,000 fine over allegations that he had provided inaccurate account reports to a customer, according to a Financial Industry Regulatory Authority settlement. http://ow.ly/zAF950GTyRH

Antoine Souma, who now manages $1.4 billion at an advisory firm, also agreed to a $20,000 fine to resolve allegations he provided misleading reports to a customer about their holdings and performance.

Avantax Wealth Management has sued the operators of Ga***rd Opryland Resort & Convention Center, arguing it should not h...
11/19/2021
Indie B-D Avantax Sues Nashville Resort Over $1.3-Mln Bill After Canceling Event Over Covid Restrictions - AdvisorHub

Avantax Wealth Management has sued the operators of Ga***rd Opryland Resort & Convention Center, arguing it should not have to pay a $1.3 million invoice the Nashville, Tennessee venue sent after the tax-focused broker-dealer this spring canceled its annual advisor conference over local Covid-19 restrictions. http://ow.ly/yHfR50GSeeQ

Blucora subsidiary Avantax argues it should not have to foot the bill for a conference that never happened, citing local Covid-19 pandemic restrictions on large gatherings that would have impeded its plans.

Ronald L. Carson, Jr., whose wealth empire in Omaha, Nebraska includes an eponymous $15.2 billion-asset firm and sales c...
11/18/2021
Ron Carson Clears Record of Ex-Client’s Complaint over Lost Discount - AdvisorHub

Ronald L. Carson, Jr., whose wealth empire in Omaha, Nebraska includes an eponymous $15.2 billion-asset firm and sales coaching business, notched a personal win in a Financial Industry Regulatory Authority arbitration case this week. http://ow.ly/AxR050GRnVH

Ron Carson was in the right to inform a product sponsor that the customer ceased to be his client and was thus ineligible for the discounted rate his advisory firm had negotiated, an arbitrator ruled, wiping the high-profile veteran advisor’s record of a related complaint.

UBS Wealth Management USA is introducing today a new payout grid that will overhaul its payout formula for its roughly 6...
11/18/2021
2022 COMP: UBS Retools Broker Pay Grid and Bonuses, Raises Pressure on Low Producers - AdvisorHub

UBS Wealth Management USA is introducing today a new payout grid that will overhaul its payout formula for its roughly 6,000 brokers next year to simplify its bonus structure and also raise the so-called ‘penalty box’ threshold for low producers, according to a copy of the plan reviewed by AdvisorHub. http://ow.ly/4hfU50GR3zo

UBS is consolidating two bonuses into the core pay grid and also raising the lowest revenue threshold on the grid to $500,000 in production from $300,000.

Thank you to everyone who attended AdvisorHub's Industry in Transition Summit, in person and virtually. We had so many g...
11/17/2021

Thank you to everyone who attended AdvisorHub's Industry in Transition Summit, in person and virtually. We had so many great speakers and perspectives.

If you missed us live, we will have recordings available by the end of the week.

We hope to see you all next year! #AHSummit21

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Comments

Is trouble brewing on the horizon? #investing #economy #NASDAQ
Ooof! #merrilllynch #wealthmanagement #advisory
The sales force of Merrill brokers, private bankers and Merrill Edge advisors will stabilize as a new training program kicks in, according to the BofA CEO. http://ow.ly/l48u50Hz60n
J.P. Morgan Targets Another Defecting Bank-Based Advisor with TRO http://ow.ly/qFEv50Htcct
Welcome to 2022, a year of continued change and transition, where trends are merging and melding into what we can fairly start to call the new advisor paradigm. Read Sirianni’s 2022 Predictions: The Year of The Great Entrepreneur Revival. http://ow.ly/5wOP50HsnpN
By the end of the year, more than 500 million people worldwide will own bitcoin.
Ex-UBS Wealth Boss McCann Backs Former Colleagues at NewEdge http://ow.ly/G9su50HsgkK
Looking to Trim $500-Mln Book, Merrill Vet Jumps to Morgan Stanley in Palo Alto http://ow.ly/AMFF50Hs4Ik
Another 22% faced a reduction in pay for not meeting household and asset targets while 18% remained neutral, a company spokesman confirmed. http://ow.ly/UEwH50HpQqG
UBS Group AG was sued by a couple who said the Swiss bank should not have disclosed the wife’s account information to the Internal Revenue Service because she was not a U.S. citizen. http://ow.ly/p6Q450Hl76o
Two former high-producing wirehouse teams that have launched multibillion-dollar registered investment advisory firms expanded their new domains with a pair of hires this week. http://ow.ly/Goy750H36Wx
A 24-year veteran Scottsdale, Arizona broker who left UBS Wealth Management USA for Wells Fargo Advisors in 2017 is continuing to wage a legal battle against his ex-employer, filing a lawsuit to partially vacate an arbitration award http://ow.ly/Iw8I50H2Zzs