Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Mariner Wealth Adds $8.6B RIA
By Janet LevauxHeber Fuger Wendin Investment Advisors, based near Detroit, focuses on work for community banks and credit unions.
August 01, 2022
Worker Classification for Independent Financial Professionals: Big Changes Ahead?The Labor Department plans to propose new rules on independent contractors that might affect advisors.
July 29, 2022
National Securities Closes Its DoorsThe broker-dealer ceased operations this week, and its advisors moved to B. Riley Wealth through a merger.
July 29, 2022
FINRA Seeks to Allow Private Homes as Non-Branch OfficesHome offices deemed "residential supervisory locations" would be inspected regularly and face certain limitations.
July 28, 2022
3 Senators Challenge Fidelity's 'Immensely Troubling' 401(k) Bitcoin PlanBitcoin fans say the senators are on the wrong side of history.
July 25, 2022
Former LPL Strategist Ryan Detrick Joins Carson GroupDetrick left LPL Financial in June.
July 22, 2022
FINRA Bars Ex-Wells Fargo Broker After Fraud ComplaintThe former broker refused to testify in an investigation of his conduct, FINRA says.
July 22, 2022
BlackRock Introduces Model Portfolios for WomenThe portfolios seek to account for differences in life expectancy, pay and employment.