Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James to Acquire Private Equity Advisor Cebile
By Jeff BermanThe company also launched a new application for advisors and nabbed an advisor team from Wells Fargo.
May 26, 2021
12 Best & Worst Broker-Dealers: Q1 Earnings, 2021Eleven out of 12 broker-dealers reported higher earnings in the first quarter of 2021 versus a year ago.
May 26, 2021
3 Ways New Regulations Are Choking BDsMany BDs are rethinking practices around fees and commissions thanks to Reg BI; meanwhile, FINRA demands seem "endless."
May 25, 2021
Number of Registered Reps Falls for Fifth Straight Year: FINRAThe number of BD firms has fallen every year for more than a decade, FINRA reports.
May 25, 2021
It's an Advisor's World as BD, RIA Options MultiplyHere's what advisors are demanding from broker-dealers and other industry players now, according to recruiters Louis and Mindy Diamond.
May 24, 2021
Trendspotter: Why Reg BI Will Push More BDs Into RIA ModelThe compliance costs, and SEC Chair Gensler's signaling that he's serious about enforcement, are accelerating a trend in progress.
May 21, 2021
Why Direct-Sold 529s Are Better Than Advisor-Sold Plans: MorningstarAdvisor-sold 529 plans can include 12b-1 fees. Morningstar isn't a fan.
May 21, 2021
Top 8 News Stories of the WeekThis week's biggest news stories include trading accounts for teenagers and the naming of future CEO candidates for two big banks.