On Wall Street

Wealth Management

• Bank of the West Names Chief Fiduciary Officer

  May 16, 2012

  Bank of the West Wealth Management has hired Scott Cripps to oversee the group’s fiduciary responsibilities to affluent and high-net-worth clients.

• Raymond James Lands $1.7 Million Advisor Team in Denver

  May 16, 2012

  Raymond James this week said financial advisors John Nice, Brian Trujillo, Steven Ringquist and Bradley Trujillo, collectively working as The Nice Group, have joined the firm’s office Denver.

• Barclays Beefs Up Wealth Management Unit in NYC

  May 16, 2012

  Barclays has added a quartet of investment reps from Deutsche Bank and Morgan Stanley Smith Barney to bolster its wealth and investment management group in New York.

• Wunderlich Hires 6, Including 5 From Morgan Keegan

  May 15, 2012

  Wunderlich Securities has added six wealth management professionals, including five from Morgan Keegan. In the past six weeks, 15 people have moved from Memphis-based Morgan Keegan to Memphis-based Wunderlich.

• PrimeVest Launches New Self-Directed Brokerage Platform

  May 11, 2012

  The new platform aims to help banks satisfy growing investor appetite for online trading and self-service investing capabilities.

• Northern Trust Poised to Build Global Family Office Team

  May 7, 2012

  Northern Trust has named Daniel F. Lindley managing director of the Global Family & Private Investment Offices Group for Europe, the Middle East and the Asia-Pacific.

• Associated Appoints New Leader for Investment Advisory Business

  May 3, 2012

  Associated Banc-Corp has named industry veteran William K. Curtis president and CEO of its retail investment advisory and services arm.

• Raymond James Nabs Veteran Advisor in Wisconsin

  May 2, 2012

  Veteran financial advisor James "Frank" Cape of Green Bay, Wis. has joined Raymond James Financial Services.

• SEC Charges UBS Unit, Two Execs With Mishandling Closed-End Funds

  May 1, 2012

  UBS Financial Services Inc. of Puerto Rico and two of its executives have been charged by the SEC with misleading investors and its own financial advisors about the market risks associated with the sales of 23 closed-end mutual funds.

• Perella Weinberg Names McGrath Partner

  May 1, 2012

  Perella Weinberg Partners has added former Morgan Stanley executive Michael McGrath as a partner in its asset management group.

• Huntington Bank Names Director for Wealth Management Division

  May 1, 2012

  Industry veteran Steven M. Short will oversee the wealth management offices in the bank’s footprint, which includes about 15 markets across six states.

• Counseling Clients Through Mental Illness

  May 1, 2012

  Personal experience has prompted one Ameriprise advisor and his team to build an unexpected niche.

• The Retirement Touchstone

  May 1, 2012

  Advisors must realistically assess their clients' readiness for life after work.

• More Mass Affluent Delay Retirement, Look to Get Back on Track

  April 30, 2012

  More than half of mass affluent Americans (57%) plan to push back their retirement, up from 42% in January 2011.

• Revenue from Investment Services Jumps at Banks, Credit Unions

  April 30, 2012

  Revenue from the sale of investment and life insurance services at banks and credit unions increased 10% in 2011, led by a significant boost in advisory services.

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