Global Private Client Group

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  SIFMA Names Former Sen. Gregg as CEO

  By Melanie Waddell, AdvisorOne  |  May 20, 2013

  SIFMA announced Monday that former Sen. Judd Gregg has been appointed CEO and that Ken Bentsen, acting president and CEO, is now president.

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  SEC to Take Another Step Toward Fiduciary Rule

  By Melanie Waddell, AdvisorOne  |  January 16, 2013

  The SEC plans to issue a “concept release,” which will also likely include a request for information, in the first quarter regarding its rule to put brokers under a fiduciary mandate, Ken Bentsen of SIFMA said Wednesday.

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  SIFMA’s Ryan Renews Dodd-Frank Support but Scoffs at Volcker Rule

  By Joyce Hanson, AdvisorOne  |  October 23, 2012

  “No one can be happy with where reform stands,” said Ryan on Tuesday at SIFMA's annual meeting in New York. Chairman Chet Helck spoke about the emotional side of the beleaguered finance industry.

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  Raymond James COO: Fiscal Year Results to Reflect Conservative Culture

  By Joyce Hanson, AdvisorOne  |  October 11, 2012

  RJFS COO Dennis Zank positioned the firm as an antidote to out-of-control Wall Street growth for growth’s sake at the 2012 Raymond James Women’s Symposium.

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  Raymond James Makes Succession Planning Push With New Team for Advisors

  By Joyce Hanson, AdvisorOne  |  October 11, 2012

  Company’s Global Private Client Group CEO Chet Helck supports the firm's efforts to help advisors choose and groom their successors.

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  SEC Funding Boost ‘Not Going to Happen’: SRO Bill Co-Sponsor

  By Melanie Waddell, AdvisorOne  |  June 26, 2012

  Industry trade groups and consumer advocates opposed to House Financial Services Committee Chairman Spencer Bachus’ bill calling for a self-regulatory organization (SRO) to oversee advisors had their hopes quashed that the Securities and Exchange Commission (SEC) would receive a boost in funding in order to thwart an SRO.

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  Raymond James Rolls Out High-Net-Worth Credit Line

  By Janet Levaux, AdvisorOne  |  March 13, 2012

  Advisors have already made 72 of these new loans as an alternative source of liquidity in recent weeks, the company says.

• Formula for Success

  By Jane Wollman Rusoff  |  January 1, 2007

  Diamonds are a girl's best friend. But CPAs are worth lots more to financial advisors. That's what savvy Barry L. Pinsky bet when he began as...