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Registered Rep.
April 29, 2004
David Gaffen
Smith Barney Stays the Course Contrary to other large wirehouse brokerages, Smith Barney does not plan on aggressively expanding its sales force at this time. mark for My Articles similar articles
Registered Rep.
March 3, 2008
Christina Mucciolo
Krawcheck Says Advisors Not Forced Into Wealth Silos: UPDATE Citigroup's reorganization of its private bank and Global Wealth Management division, announced Tuesday, will absolutely not force advisors into silos based on client wealth. mark for My Articles similar articles
Registered Rep.
April 1, 2008
Christina Mucciolo
Citi Reorganizes For Smith Barney Citigroup announces plans to reorganize its private bank and Global Wealth Management division into four separate units according to client wealth. mark for My Articles similar articles
Registered Rep.
May 30, 2003
David A. Gaffen
The New Smith Barney CEO Sallie Krawcheck was recruited to restore the credibility of Smith Barney and lead the business through its toughest slump in a generation. Krawcheck wants Smith Barney advisors to more than double their average annual production to $1 million. mark for My Articles similar articles
Registered Rep.
December 1, 2004
David A. Gaffen
Sallie Krawcheck Has Left the Building In a move that presages future Citigroup plans, Smith Barney CEO Sallie Krawcheck and Citigroup's CFO Todd Thomson have switched offices. mark for My Articles similar articles
Registered Rep.
December 16, 2004
David A. Gaffen
Smith Barney's Matthews Retires; Johnston Steps In Tom Matthews, president of Smith Barney's global private client group, is retiring and Charles Johnston, currently director of the retail branch system at the firm, will replace him. mark for My Articles similar articles
Registered Rep.
April 1, 2008
David Geracioti
Sallie Krawcheck A conversation with Sally Krawcheck, CEO of Citigroup's Smith Barney unit, about the company's recent reorganization. mark for My Articles similar articles
Registered Rep.
November 1, 2002
Gaffen & Weinberg
Brokers React to Citi's Research Move Sallie Krawcheck, former head of independent research firm Sanford C. Bernstein, will head a new business unit of Citigroup that will operate under the name Smith Barney, and include the private client group. Smith Barney brokers are skeptical, though. mark for My Articles similar articles
Registered Rep.
January 20, 2010
Halah Touryalai
Wealth Management Has Strong Fourth Quarter At Morgan, BofA Neither Morgan Stanley Smith Barney nor Bank of America ended 2009 with a bang in the earnings department. But their wealth management units were pockets of strength. mark for My Articles similar articles
Registered Rep.
April 17, 2009
Halah Touryalai
Smith Barney Losing Advisors, Client Assets But while Smith Barney is losing reps, it also appears to be recruiting heavily. mark for My Articles similar articles
Registered Rep.
January 1, 2006
Kristen French
What's in a Name? Financial advisor is the name most of the other wirehouses use for their registered reps these days. It reflects the industry's attempts to transform its reps from commission-based stock jockeys to fee-based relationship managers. mark for My Articles similar articles
On Wall Street
September 1, 2011
Lorie Konish
Morgan Stanley Smith Barney's $1 Trillion Target Morgan Stanley Smith Barney focuses on growing its Consulting Group division, where it aims to double the assets in the managed account group to more than $1 trillion within the next five years. mark for My Articles similar articles
Registered Rep.
August 3, 2009
John Churchill
When Kenny Met Sallie - Bank of America hires Krawcheck Sallie Krawcheck, one of the most powerful women on Wall Street, has ended her year-long absence from the wealth management industry with an auspicious return. mark for My Articles similar articles
Registered Rep.
October 5, 2009
Kristen French
Merrill Launches Branding Campaign; Recruiting Net Positive The new campaign Monday will cost the firm $20 million in the fourth quarter, the most Merrill has ever spent on marketing. mark for My Articles similar articles
Registered Rep.
December 1, 2005
Halah Touryalai
Smith Barney: New Focus On the Horizon While most Smith Barney advisor respondents were generally unimpressed by the acquisition of Legg advisors, it'll be interesting to see if Smith Barney's jettisoning of its asset management group -- and resulting new focus on retail distribution -- will rejuvenate the firm. mark for My Articles similar articles
Registered Rep.
April 29, 2004
David Gaffen
Sunny and One Thousand (CIMA) Degrees A group of top financial professionals this week took a break from worrying about their clients to turn their attention inward at the Investment Management Consultants Organization annual conference, held this year in Boca Raton. mark for My Articles similar articles
Registered Rep.
March 1, 2007
John Churchill
Sallie's Back At first glance, this second coming of Sallie Krawcheck probably looks like a cakewalk compared to her first adventure in 2002. But, make no mistake: Smith Barney is not the awesome brokerage it appears to be on paper. mark for My Articles similar articles
Registered Rep.
May 29, 2007
Kevin Burke
Smith Barney's Krawcheck to Smooth Out Comp. Plan The brokerage giant's top executive is set to tweak the firm's compensation plan in an attempt to address financial advisors' repeated complaints over pay complexities and claims of unfairness. mark for My Articles similar articles
Registered Rep.
August 4, 2009
French & Churchill
Dan Sontag Departs Merrill Lynch Much beloved by Merrill financial advisors, Dan Sontag is stepping down as head of Merrill Lynch Global Wealth Management. mark for My Articles similar articles
Registered Rep.
July 19, 2004
David A. Gaffen
Several Large Producers Leave Smith Barney Smith Barney has been hit with a few high-profile defections in the last month or so, as several large producers have taken their lucrative businesses to other firms. mark for My Articles similar articles
On Wall Street
August 1, 2011
Lorie Konish
Expect a New Wave of Advisor Movement Even with rumblings that Wall Street firms could brace for cost cuts and layoffs this summer, competition for top wealth management talent is poised to remain strong. mark for My Articles similar articles
Registered Rep.
January 9, 2008
Halah Touryalai
Smith Barney Snags Three Advisors From Rivals Smith Barney has started off the new year right with a recruiting victory. The firm recently hired three Merrill Lynch reps and one UBS advisor. mark for My Articles similar articles
Registered Rep.
November 1, 2006
Angela Covo
Skirts Vs. Smith Barney Less than 10 years after they settled the infamous "boom-boom room" case, Smith Barney is being sued for gender discrimination again. mark for My Articles similar articles
Registered Rep.
April 18, 2007
Halah Touryalai
Chuck Prince: Smith Barney Goin' Nowhere Citigroup's CEO has been at the center of company news recently with his plans to cut costs including last week's announcement of about 17,000 job cuts. That cut may affect over 100 Smith Barney employees and about 30 advisors. mark for My Articles similar articles
Registered Rep.
March 8, 2012
Kristen French
Due Diligence: Morgan Stanley Advisors Paid to Put Clients in New Amex Credit Card Morgan Stanley Smith Barney financial advisors and client service associates will get a "small" amount of compensation for the administrative process of handling card sign up. mark for My Articles similar articles
Registered Rep.
August 1, 2005
John Churchill
Should I Stay or Should I Go? When Smith Barney and Legg Mason announced a deal to swap the wirehouse's asset-management business for Legg's brokerage unit, a lot of Legg reps made calls to recruiters and began to prepare for a move. But now, a lot of reps have stopped packing. mark for My Articles similar articles
Registered Rep.
December 13, 2010
Susan Konig
IBD and RIA Opportunities Arise For Branch Managers As the independent broker/dealer and RIA channels grow, they are creating a viable market for those displaced managers. mark for My Articles similar articles
Registered Rep.
May 7, 2007
Christina Mucciolo
Smith Barney Closes a Few Offices, Prepares to Consolidate Others The firm prepares to consolidate as part of a larger cost-cutting program in the works at parent Citigroup. mark for My Articles similar articles
Registered Rep.
May 1, 2005
John Churchill
Class-Action Threat Smith Barney is facing a new round of sex-discrimination suits. mark for My Articles similar articles
Registered Rep.
February 21, 2007
John Churchill
Smith Barney Comp Pleasant Surprise Judging from initial reports from reps, the written version of the new plan is an improvement from the prior version -- a plan many reps equated to a pay cut despite the firm's insistence that it was "revenue neutral." mark for My Articles similar articles
Registered Rep.
January 28, 2011
Diana Britton
Fidelity: As Dust Settles, Larger Teams Breaking Away While the number of advisors shifting to independent business models slowed somewhat last year from 2009, the size of those breakaways making the move is growing. mark for My Articles similar articles
Registered Rep.
January 14, 2011
Kristen French
Some MSSB Advisors Upset by Johnston's Departure Morgan Stanley CEO James Gorman announced Thursday that Greg Fleming, head of the firm's asset management business, will replace Charles Johnston as head of wealth management. mark for My Articles similar articles
On Wall Street
September 1, 2009
Frances A. McMorris
She's Back! Krawcheck Takes On Merrill Sallie Krawcheck has made her return to the financial advisory world with a splash. As the new head of Bank of America's Global Wealth Management and Investment Management unit, she takes Merrill Lynch under her wing. mark for My Articles similar articles
Registered Rep.
November 7, 2011
Kristen French
Krawcheck: Client Attrition Very Low, but Wooing Younger Generation a Challenge Generation x and y kids are not too keen on the big wealth management firms, and that is one of the major challenges the wealth management industry faces over the medium term. mark for My Articles similar articles
Registered Rep.
September 10, 2003
David A. Gaffen
Existing Clients Want More Advice The good news for reps is that the world doesn't hate you. The bad news is that acquiring clients -- particularly affluent ones -- is getting a lot more tough. mark for My Articles similar articles
Registered Rep.
October 22, 2009
Christina Mucciolo
MSSB Plans to Double Size of U.S. Division For Ultra Wealthy Morgan Stanley Private Wealth Management will exclusively serve clients with a minimum of $20 million in assets. mark for My Articles similar articles
Registered Rep.
August 12, 2003
David A. Gaffen
Building a Better Separate-Account Mousetrap Separately managed accounts can be confusing, but the paperwork and operations behind them need not be -- or at least that's the thrust of a new effort by Smith Barney Consulting Group. mark for My Articles similar articles
Registered Rep.
December 12, 2006
Halah Touryalai
Smith Barney Pay Package: Perks Balance Cuts? This week, Smith Barney will become the first firm to make a change to its payout grid as a result of the securities industry's recent battle over broker overtime pay and so-called chargebacks. mark for My Articles similar articles
On Wall Street
October 1, 2010
Lee Conrad
Merrill and Morgan Slug It Out With integration behind it, just how does the new Merrill fare against its closest competitor, Morgan Stanley Smith Barney? mark for My Articles similar articles
U.S. Banker
January 2008
Karen Krebsbach
Citi - Top Wealth-Management Team U.S. Banker has chosen Citi Global Wealth Management as its top wealth-management team, due to the bank's double-digit organic growth, and the trust placed in the company by its affluent overseas investors. mark for My Articles similar articles
Registered Rep.
March 9, 2011
Kristen French
Morgan Stanley Cutting 200-300 FAs And Trainees The firm's wealth management division, Morgan Stanley Smith Barney, should end the quarter with about 17,800 advisors, still the largest brokerage force in the U.S. by headcount. mark for My Articles similar articles
Registered Rep.
June 1, 2004
David A. Gaffen
Florida Forecast: Sunny and 1,000 (CIMA) Degrees A group of top financial professionals took a break from worrying about their clients to turn their attention inward. mark for My Articles similar articles
Registered Rep.
June 1, 2009
David Geracioti
Can You Say, "Morgan Stanley Smith Barney?" The Joint Venture Launches Today The deal merging Citi's brokerage (Smith Barney) with Morgan Stanley's Global Wealth Management Group is closed -- ahead of schedule. mark for My Articles similar articles
Registered Rep.
October 18, 2007
Halah Touryalai
At Citi, Profits Are Down; Smith Barney Wins Five Morgan FAs With Nearly $600m AUM; ML Loses Two Citigroups' third-quarter profits are down 57%... over at its Smith Barney unit, Charlie Johnston's team had a pretty good recruiting week... etc. mark for My Articles similar articles
Registered Rep.
October 5, 2009
Kristen French
Citi Bank Brokerage Converts To All Fees Citigroup announced that it would convert its small North American bank brokerage business completely to a fee-on-assets-based fiduciary advice system, and would stop collecting commissions on stock and fund sales. mark for My Articles similar articles
Registered Rep.
November 18, 2005
Kristen French
Smith Barney Cuts Pay for Smaller Brokers The new pay scale was announced to brokers internally in October and will take effect in January. mark for My Articles similar articles
Registered Rep.
September 27, 2006
Angela Covo
Women on Wall Street Still Fighting Discrimination Less than 10 years after they settled the infamous "boom-boom room" case, Smith Barney is being sued for discrimination again. The new lawsuit doesn't include sexual-harassment charges, but does address the economics of gender discrimination. mark for My Articles similar articles
Registered Rep.
April 18, 2011
Diana Britton
MSSB Team Jumps Ship to Raymond James Father-daughter advisor team Martin Gelb and Sonya Gelb Choeff have jumped ship to Raymond James in Miami Beach, Fla., from Morgan Stanley Smith Barney, as the fight for talent continues. mark for My Articles similar articles
On Wall Street
November 1, 2009
Helen Kearney
Back on the Front Lines Over the past few months, both UBS and Morgan Stanley Smith Barney have completed their transitions to the 'complex' management structure. Many of the branch managers affected haven't had a book of business for years and say it's not an easy thing to conjure up overnight. mark for My Articles similar articles
Registered Rep.
July 14, 2009
Halah Touryalai
Financial Advisor Switching Firms Jumps in June June was a busy month for financial advisors on the move. The number of advisors switching firms jumped 45 percent in June versus May, according to Discovery Database. mark for My Articles similar articles