Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Expected to Shift Focus to Advisors, BDs Under Biden
By Melanie WaddellThe SEC under Gensler will shift priorities away from retail investor fraud toward the conduct of institutions, securities lawyers predict.
January 19, 2021
Cetera Adds Riskalyze Solutions CompanywideRiskalyze is providing risk alignment and portfolio analytics solutions to the entire Cetera network at no extra cost to advisors.
January 15, 2021
Jud Mackrill Exits Carson Group to Start Fintech FirmThe executive steps down as Carson's chief marketing officer after two years to co-found Milemarker in South Carolina.
January 14, 2021
Advisor Group Hires Ex-Schwab Exec to Lead Digital SolutionsPeter Clemson is appointed to the newly created position to lead the firm's continued buildout of digital solutions.
January 14, 2021
The Big Mistake That Stifles Indie Advisors' GrowthRIA Robert Fragasso gives ThinkAdvisor some advice on going indie, including a critical lesson he learned in running his firm.
January 14, 2021
Here Are the States With Best-Interest Rules for AnnuitiesFive states have approved these rules, and eight more have proposals in progress.
January 13, 2021
Raymond James Trims CEO Pay 17% in 'Difficult Year'Chairman and Chief Executive Officer Paul Reilly's total compensation fell to $11.1 million in 2020, when the firm cut 500 jobs, from $13.4 million in 2019.
January 13, 2021
PPP Borrowers Should Act Fast, Expect More Scrutiny: AICPA"The SBA is doing more vetting for potential fraud," said Erik Asgeirsson, president and CEO of CPA.com.