Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Fintech Firm Launches AI-Driven Digital Assistants for Advisors: Tech Roundup
By Jeff BermanAlso, Signal Advisors raises $16 million to build an end-to-end platform for independent advisors.
April 29, 2021
Robinhood to Double Its Registered Rep Force in 2021The recruits will provide customer service, not investment advice, the company says.
April 28, 2021
Capital Gains, Income or Estate Tax Changes: Which Would Have Biggest Impact?The Buckingham Wealth chief planning officer asked his Twitter followers to vote.
April 28, 2021
Mariner Wealth Sells Small Stake to Private Equity FirmLeonard Green & Partners' investment will help the RIA "continue our expansion and hiring of talent" said Mariner CEO Marty Bicknell.
April 28, 2021
What Advisors Think of Biden's $1.5T Tax Plan"Should these proposals prevail in Congress, financial planners will be more valuable than ever," one advisor told us.
April 28, 2021
JPMorgan: All U.S. Employees to Return to the Office By JulyBank of America, meanwhile, plans to send workers back by Labor Day.
April 27, 2021
UBS Americas Posts $17.2B in Fee-Based Asset FlowsIts advisor headcount of 6,335 represents a decline of 161 from a year ago but a gain of 30 from year-end.
April 26, 2021
FINRA Provides Advice for BDs to Fight FraudFINRA warned early this month that the regulator's exams this year would focus on BD filings of SARs.