Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Schwab Cuts More TD Ameritrade Executives
By Jeff BermanMore cuts are expected to follow as the firms continue the integration process, a Schwab spokeswoman says.
May 13, 2021
New RBC Team in New Jersey Includes Ex-Mayor, Equine ExpertThe seven-person team joins RBC's Princeton office from UBS and includes a former mayor of Princeton Township.
May 13, 2021
SEC Slaps BD for Failing to File Suspicious Activity ReportsThe BD failed to file SARs related to external bad actors' attempts to gain access to the retirement accounts of individual plan participants.
May 12, 2021
DOL Withdrawal of Independent Contractor Rule Threatens Indie Advisor Business Model: FSIDOL's decision to withdraw the rule stands to increase costs for advisors and their firms, FSI's David Bellaire tells ThinkAdvisor.
May 10, 2021
Cetera Adds $2.4B RIA From MassMutualTotus Wealth Advisors has offices in Houston and the Woodlands, Texas, with plans to expand.
May 10, 2021
Edward Jones Restarts Advisor Hiring After Q1 Headcount DipsThe firm ended the quarter with 18,967 advisors, down 60 from a year ago, it says in an SEC filing.
May 06, 2021
Cadaret Grant Adds $2B OSJThe Ohio-based Cedar Brook Group, which has 20 licensed financial professionals, has joined the Atria subsidiary.
May 06, 2021
Weber Says UBS Should Consider a Chairwoman After He LeavesThe global investment bank is planning to appoint the successor to Weber, 64, at its 2022 general meeting.