SEC Bars 2 Advisors Who Said They Managed Money ‘God’s Way’
The advisors promised investors "indestructible wealth" while misusing their money, the SEC said.
The 2016 Broker-Dealers of the Year
The leaders of the winning firms share what sets them apart from the competition.
2016 Broker-Dealers of the Year: Eric Schwartz on Independence
Cambridge can bring together the relationships of a small firm and the resources of a large firm thanks to its private ownership and independent mindset, according to Eric Schwartz.
2016 Broker-Dealers of the Year: Ralph DeVito on Culture and Focus
The winner in Division II shares the firm's sole focus — reps.
2016 Broker-Dealers of the Year: Lon Dolber on Knowing What Advisors Need
The president and CEO of American Portfolios, Lon Dolber, still has a book of business, which gives him valuable perspective on what advisors are dealing with day to day.
2016 Broker-Dealers of the Year: Brian Murphy on the Value of a Broad Strategy
A vertical business isn't the best way to serve advisors and their clients, according to Brian Murphy of Lion Street Financial.
Cetera Replaces CEO Roth With Moore as RCS Bankruptcy Woes Fade
With the RCS Capital bankruptcy behind it, Cetera appears to be replacing a “wartime leader” with a “peacetime leader,” one observer says.
Recruiting Roundup: Pensionmark Draws $1B Group to Network
Other advisor teams and registered reps move to affiliate with NPC, Securities America and Capital One.
Where BDs Are Getting Their Best Recruits
The DOL fiduciary rule presents an opportunity for BDs to attract advisors, but it’s not the only factor driving growth in the rep force.
Will DOL Fiduciary Rule Drive RIAs to — or From — BDs?
Broker-dealers have an opportunity to ease RIAs’ compliance burden brought by the DOL fiduciary rule, the 2016 Broker-Dealers of the Year say.