Ameriprise Financial

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  RIAs With $410M in AUM to Custody With Raymond James

  By Janet Levaux, AdvisorOne  |  December 16, 2011

  Four firms, including an ex-Ameriprise affiliate, join Raymond James' RIA division with combined assets of $410 million.

• Deutsche Bank Selling Chunk of Asset Management Business

  By Marlene Y. Satter, AdvisorOne  |  December 16, 2011

  The decision to sell was made in the wake of a strategic review of the business that was spurred by changing conditions within the industry that included regulatory reforms.

• FINRA Smacks 18 Firms, Workers Tied to Private Placements

  By Janet Levaux, AdvisorOne  |  November 29, 2011

  FINRA said Tuesday that it sanctioned eight firms and 10 individuals and ordered restitution of more than $3.2 million for sales of private placements, including some issued by Provident Royalties and Medical Capital Holdings.

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  5 Best & Worst Broker-Dealers: Q3 Earnings

  By Janet Levaux, AdvisorOne  |  November 16, 2011

  Brokerage firms in the third quarter boosted earnings growth as high as nearly 2,200% and reported declines as low as 120% — AdvisorOne selected a lucky 10 to spotlight.

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  Ameriprise Misses Estimates, but Boosts Advisor Force: Q3 Earnings

  By Janet Levaux, AdvisorOne  |  October 26, 2011

  The company now has 9,714 FAs and says it has improved its retention levels, margins.

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  Top 10 Best Cities for Educated Job Seekers

  By Marlene Y. Satter, AdvisorOne  |  October 7, 2011

  In a tough job market it always helps to know some of the best places to find work. More educated members of the labor force will find more opportunities in some of these cities, where the demand for education narrows the field of applicants.

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  Morgan Keegan Bleeds as Sale Drags On, Experts Say

  By Janet Levaux, AdvisorOne  |  September 30, 2011

  As the clock keeps ticking on a possible sale, advisors at Memphis, Tenn.-based Morgan Keegan are likely to continue to leave or at least consider it, recruiters tell AdvisorOne, which drains the value of the broker-dealer to potential acquirers.

• Ladenburg Thalmann to Buy Securities America

  By Janet Levaux, AdvisorOne  |  September 29, 2011

  Ladenburg Thalmann said that it planned to pay Ameriprise Financial $150 million in cash for Securities America in late August. In addition, the Miami-based broker-dealer says it will pay up to $70 million in 2012 and 2013 in so-called earn-outs, as the firm explained in an SEC report. Plus, Ameriprise...

• Ameriprise Posts Positive Q2 Earnings, No Sale Yet of Securities America

  By Janet Levaux, AdvisorOne  |  September 1, 2011

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  Securities America Sale: Final Price Could Be $220 Million; Big Retention Bonuses

  By Janet Levaux, AdvisorOne  |  August 19, 2011

  Ladenburg Thalmann files 8-K; retention bonuses of 15% of yearly fees and commissions are being offered by the company, sources say.