Wachovia Corp.

Recent Events

News & Analysis

advisor and wachovia corp. - All News and Analysis

• PowerShares to Expand Family of Fixed-Income Intelligent ETFs

  - 2007-11-05

  PowerShares Capital Management LLC, a leading provider of exchange-traded funds ETFs, today announced three new additions to its family of fixed-income ETFs. The listings include a tax-free variable rate demand obligations VRDO portfolio, as well as high-quality preferred and U.S. dollar denominated high-yield corporate bond portfolios. These new PowerShares ETF...

  Tags: advisor, bond, ETF, FINANCE, financial, Investment, investor, Merrill Lynch & Co. Inc., prospectus, SECURITY, Thomson Corp., Wachovia Corp.

• Little no longer

  - 2007-10-01

  When the second-largest broker-dealer in the country wants to be known as a regional, then being a regional firm may not be such a bad thing after all. In the days following last MayÕs announcement that Wachovia Corp. would buy A.G. Edwards, executives staunchly affirmed that the combined...

  Tags: advisor, consultant, FINANCE, financial, H&R Block Inc., Investment, NYSE Euronext, Wachovia Corp.

• Accused Maryland financial adviser gives up license

  - 2007-08-17

  A financial adviser accused of bilking an elderly couple she met at church out of more than $500,000 has relinquished her professional licenses under a settlement with the Securities Division of the Office of the Attorney General. Gloria J. Askins also was ordered to pay a fine of...

  Tags: advisor, FINANCE, financial, Prudential Insurance Company of America, Wachovia Corp.

• Former Wachovia Financial Advisor Calls Self-Enforcement Un-American'

  - 2007-05-01

  ONE broker who won $865,000 from an arbitration panel in a case involving defamation, sees a big gap in the differences between justice in the court system and in the mandatory arbitration process for financial professionals. ONE broker who won $865,000 from an arbitration panel in a case...

  Tags: advisor, arbitration, Wachovia Corp.

• Who's News

  - 2006-10-01

  WIREHOUSES Ernesto A. de la Fe is the new head of Morgan Stanley Private Wealth Management's ultra-high-net-worth division for Latin America. As managing director, he has opened a private wealth management office in Miami in order to serve Latin American WIREHOUSES Ernesto A. de la Fe is the new...

  Tags: advisor, asset, Morgan Stanley, Salomon Smith Barney, security, Wachovia Corp.

• Jackson National extends alliance with Wachovia.(Product Watch)

  - 2006-09-11

  Extending its partnership with Richmond, Va.-based Wachovia Securities LLC, Jackson National Life Insurance Co. of Lansing, Mich., now will make its variable and fixed index annuity products available to approved financial advisers in Wachovia's in Extending its partnership with Richmond, Va.-based Wachovia Securities...

  Tags: administrator, advisor, alliance, annuity, compliance, marketing, Wachovia Corp.

• Top 25 Advisors' Fees

  - 2006-09-01

  Pending and Completed Deals Announced in 2006 Rank Buyer Target Announced Deal Value ($M) Completed Deal Value ($M) Buyer's Financial Advisors Buyer's Total Financial Advisor's Fees Target's Primary Advisor Seller's Financial Advisor Fees ($000) 1 Capital One Financial Corp. North Fork Bancorp $14,567.80 NA JPMorgan Securities Citigroup Global Markets $20,000...

  Tags: advisor, Capital One Financial Corp., FINANCE, financial, Investment, Lehman Brothers Inc., Wachovia Corp.

• Creative Marketing: Banks' reticence to put marketing muscle behind their reps is spurring some creative advisers to blow their own horns.

  - 2006-08-01

  Last March, Wachovia Corp. launched an experiment in "experiencial" marketing. Targeting a rapidly growing retirement capital in Sarasota, Fla., the bank placed print advertising in national magazines such as Money, Fortune and Business 2 Last March, Wachovia Corp. launched an experiment in "experiencial"...

  Tags: advisor, bank, marketing, Wachovia Corp.

• IS THE 200% DEAL FOR REAL? Recruiting bonuses are up, but some say the big carrots are a myth.

  - 2006-07-01

  There's little doubt that at THE midpoint of this year, recruiting bonuses for brokers have reached all-time highs. Yet headhunters are divided on the idea that any firms are actually paying reps as much as the widely publicized 200% level. Several extern There's little doubt that at THE midpoint of...

  Tags: advisor, recruiting, UBS AG, Wachovia Corp.

• H&R Block Financial Advisors Hires Smith Barney Team and Top Wachovia Manager

  - 2006-05-30

  KANSAS CITY, Mo. -- Joining the nearly 200 advisors who have been added to the ranks of H&R Block Financial Advisors in the last year, the two-person team of Gary Sargent and Cliff Hodgman made the jump from Smith Barney to H&R Block Financial Advisors in the Kalamazoo, Mich., branch.

  Tags: advisor, H&R Block Inc., Salomon Smith Barney, team, Wachovia Corp.