Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Biden Eyeing Tax Rate as High as 43.4% in Next Economic Package
By Laura Davison and Allyson VersprilleFor many wealthy individuals, the new marginal capital gains tax rate would be a steep increase from the current base rate of 20%.
April 22, 2021
UBS Nabs $5B JPMorgan Team in South FloridaThe wirehouse also picks up a team from JPMorgan in Kenwood, Ohio.
April 22, 2021
Alex Oh Named SEC Enforcement ChiefShe "has the expertise as a highly respected lawyer to ensure that the SEC protects investors," SEC Chairman Gary Gensler said.
April 22, 2021
Advisor Group Rolls Out Next-Gen, Business Growth ProgramsMeanwhile, Ladenburg Thalmann Asset Management CEO Philip Blancato has taken on an additional role.
April 21, 2021
Merger of Schwab, TD Ameritrade Advisor Referral Networks BeginsSchwab is slashing the number of RIA firms in the referral program to 175 from 298, it says.
April 21, 2021
Financial Firms Change How They Ask Employees About GenderSome firms, including TD Ameritrade and UBS, now offer options beyond male and female when they collect gender information.
April 21, 2021
BNY Mellon's Pershing Realigns U.S. BusinessEffective May 1, the firm will be newly aligned under two main segments: Wealth Solutions and Institutional Solutions.
April 21, 2021
8 Trusts That Can Help Reduce Estate TaxesIf proposals from President Biden and Sen. Bernie Sanders come to pass, demand for these trusts could rise dramatically.