Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Commonwealth Plans Big Tech Investments as More of Its Advisors Ditch FINRA
By Jeff Berman"Commonwealth actually looks more like a national RIA than it does a traditional broker-dealer," CEO Wayne Bloom tells ThinkAdvisor.
November 24, 2021
'The Changing Complexion of Wealth': Attracting More Diverse Talent at MerrillThe wealth management exec says the industry must "take steps to make this profession more appealing for talent we wish to attract."
November 24, 2021
Google Reviews Are the New Client Referrals: Samantha RussellThe new Google Screened "could be a huge game changer" under the new SEC ad rule, she says.
November 24, 2021
Ex-Edward Jones Rep Indicted for Allegedly Defrauding Clients Out of $778KRonald Molo used some funds to pay for vehicles, credit card balances and home mortgages, prosecutors say.
November 24, 2021
2 More States Adopt Commission-Friendly Annuity Sales RulesAdvocates of the model hope to ward off the imposition of a broad fiduciary standard.
November 23, 2021
The Best & Worst Mobile Apps for Wealth Management: J.D. Power, 2021Overall customer satisfaction with these apps rose nine points year over year to 858 on a 1,000-point scale.
November 23, 2021
2021 News of the YearWe review the major developments affecting financial advisors — from Wall Street to Washington — over the past 12 months.
November 22, 2021
Top Advisor News of 2021Some of the most unfortunate developments in the advice industry this year included crime and alleged discrimination.