News, Vision & Voice for the Advisory Community


As Raymond James seeks to wire its Alex. Brown upbranding deal, it hires past Deutsche CEO Seth Waugh with bona fides and baggage

In adding execuive chair, Raymond James is looking to complete the orchid botanist's task of providing just the right Wall Street water and Baltimore sunlight

Author Lisa Shidler April 27, 2016 at 7:49 PM
no description available
Seth Waugh is neither a real Alex. Brown guy nor somebody who has walked in a broker's shoes, but his Wall Street bona fides are platinum grade.

Jeff Spears


Alex. Brown


Robertson Stephens


Joe Piazza


Paul Reilly


Seth Waugh


Haig Ariyan

Lee H

Lee H

April 27, 2016 — 8:47 PM

Great hair…

Teresa Vollenweider

Teresa Vollenweider

April 27, 2016 — 11:16 PM

It will be imperative for us muppet clients to watch our taxable (non-retirement) accounts like hawks, as broker-dealers are positioning themselves to rip HNW muppets faces off in their taxable (non-retirement) accounts—the non-fiduciary accounts.

tena christian

tena christian

August 11, 2016 — 1:09 AM

Thought-provoking post , Speaking of which if you need a San diego county emt probation form , I edited a template version here <code>https://goo.gl/6PUA5R</code>.

Related Moves

August 24, 2019 at 4:25 AM

A 20-year Merrill Lynch veteran got Sanctuary Wealth to $10 billion in AUA in 15 months with no outside capital and no time in bed: 'Nobody's slept since April'

Jim Dickson also recruited HighTower talent, Amit Dogra, to bring the old HighTower brokerage model and execute it as HighTower veers toward buying RIAs

August 15, 2019 at 7:58 PM

Last year's RIA chief departs Raymond James after ship sails without her at helm of RIA unit, leaving her anchored to COO role

Maria Daley took the reins after Bill Van Law's unexpected departure, but Greg Bruce came on in March to lead RIA Unit, a job she held on interim basis

June 6, 2019 at 2:16 AM

Raymond James finally names new RIA chief and, yes, he is a Schwab veteran

The St. Petersburg, Fla. broker-dealer parted ways with Bill Van Law -- a Merrill Lynch veteran -- a year ago; now it has a real RIA veteran in Greg Bruce

March 4, 2019 at 11:54 PM

See more related moves

Mentioned in this article:

Raymond James Financial Inc.
Asset Custodian
Top Executive: Bill Van Law

RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING

RIABiz Directory sponsored by:

Directory Sponsor Logo

White Paper Postings

Common Tags

Recent Articles

Popular Writers

RIABiz logo


About Us




RIABiz, Mill Valley, California
Copyright © 2009-2024 RIABiz Inc. All rights reserved.