Articles tagged "Cecile Munoz"


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A look inside the agonizing decision to cut Tom Bradley from TD Ameritrade and what doesn't seem to add up

CEO Tim Hockey accords Peter deSilva a cultural edge as retail chief though Scottrade only hired him in 2016 -- either way there's 'no place' for Bradley after a 30-year run at TD

September 21, 2017 — 6:31 PM UTC

LPL Financial lets go of David Reich to pull its crucial $135-billion 401(k) division into a central service and branding sphere

The head of the unit exits amid advisor chatter that the hyper-channelization of LPL sometimes makes six phone calls necessary when one would do

June 26, 2017 — 9:34 PM UTC

Anything but sales-y, David Canter takes RIA helm at Fidelity with ambition to sell like crazy

The Schwab alum and long-time sidekick to Bob Oros and Mike Durbin is a lawyer, consulting expert and is 'over the moon' about his new role

March 6, 2017 — 10:56 PM UTC

Fidelity begins search for new RIA national sales manager as Bob Oros goes millennial, vacating a prized position

The kids pioneered the mindset but now the Oroses of the world grab quality-of-work, make-a-difference opportunities that their experience allows them to command

January 14, 2017 — 1:51 AM UTC

Valerie Brown finds her CEO in UBS ex-prez Jamie Price off the obvious radar screen

In search effort the Advisor Group executive chair looked past kiss of death on the Price résumé and saw the digression off the corporate path as a positive

November 16, 2016 — 12:17 AM UTC

What to make of Ron Carson selling 29% of his empire for $35 million -- and how he's evolved his no-pain, no-gain approach to attract a new generation of talent

Improbably, the master motivator of Omaha is seeking a few good millennial slackers en route to building a firm that exudes as much silicon as charisma

July 12, 2016 — 10:16 PM UTC

Edelman Financial gets its CEO from LPL but the chief executive's job description isn't exactly what the old one was

The $16-billion-AUM RIA's poach of Ryan Parker gives Ric Edelman the bandwidth to exert more of his people power

May 31, 2016 — 8:47 PM UTC

Why a $3 billion UHNW team in Newport Beach bolted Merrill Lynch and what breakaway bugs are reading into it

The alternating carrot/whip spurs for wirehouse mega-teams has the breakaway buggy bolting along

October 6, 2015 — 5:30 PM UTC

After winning a $1-billion RIA, Raymond James fills a void by hiring a true-blue elite RIA executive

The St. Petersburg, Fla.-based maestro of advice channels is hiring an RIA custody virtuoso with Schwab and Fidelity training

September 4, 2015 — 6:46 PM UTC

LPL taps the man who saved Morgan Stanley's bacon to take service to a Schwab RIA-level echelon

Tom Gooley sacrificed 36 weekends and a happy home life in Larchmont to smooth the way for 15,000 stockbrokers in the biggest wirehouse merger ever

June 29, 2015 — 6:33 PM UTC

Schwab promotes relative newcomer Terri Kallsen to head retail, with John Clendening getting the golden parachute and Andy Gill transitioned

The hire from USAA is a nod to that firm's success inspiring loyalty but Kallsen will need to break the streak of short-lived tenures in that position

January 16, 2015 — 5:28 PM UTC

Derek Bruton joins forces with Ray Lucia Jr. in San Diego to execute national RIA hybrid plan

The ex-LPL exec saw no issue at all joining the eponymous son of the radio host barred by the SEC

July 31, 2014 — 2:08 PM UTC

In two-part deal, Fidelity sacrifices a top talent to its top RIA client then fills the gap with an impressive hire from Schwab

Mariner's Marty Bicknell nabs Kevin Corbett and Fidelity's Bob Oros in turn snaps up Catherine Davies

July 16, 2014 — 6:22 PM UTC

Bill Chetney is back to compete with LPL (among others) and Mark Casady is very much on board

His new $40-billion OSJ start-up will use the LPL hybrid platform and get a hand from the broker-dealer in procuring a right-to-recruit agreement and software

July 9, 2014 — 3:21 AM UTC

Is Merrill Lynch taking its more RIA-like training program another step forward with Racquel Oden's promotion?

The new head of training breaks stereotypes and may break new ground for the industry -- or not

March 10, 2014 — 1:31 AM UTC