Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Most Advisors Are Terrible at Niche Marketing. Don't Be Like Most Advisors.
By Patrick BrewerFinancial advisors must do something to stand out in a "sea of sameness."
August 02, 2021
LPL Drops Account Minimums on Some PortfoliosThe move affects its advisory platform, which includes six multi-manager funds.
August 02, 2021
FINRA Gets a Green Light to Crack Down on High-Risk Firms, BrokersThe proposed rule change, approved by the SEC, would place new obligations on FINRA member firms with a long record of misconduct.
August 02, 2021
Avantax Scoops Up $1.1B RIAWhen the deal closes, the RIA's three partners will become financial planning consultants with Avantax Planning Partners.
July 30, 2021
Advisor Group, Cetera and Pershing Tackle 2 Big Advisory MythsDespite the widely held belief to the contrary, not all advisors at IBDs are rushing to become RIAs, executives from the firms say.
July 30, 2021
LPL Tops $1T in Assets and 19,000 Advisors: Q2 EarningsThe number of net new advisors was 1,442, including over 900 from Waddell & Reed and 200-plus from M&T Bank.
July 29, 2021
Wells Fargo Names New Head of Indie Advisor GroupJohn Tyers most recently was the chief growth officer for the fintech firm AdvisorEngine.
July 29, 2021
RBC Wealth Selects Broadridge Platform: Tech RoundupTwo fintech executives also join Dynasty Financial Partners.