Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
'One Bad Rule After Another': Top Democrat Takes SEC's Clayton to Task
By Melanie Waddell"It doesn't seem like you have any way to tell if this rule will help at all," Sen. Sherrod Brown said of Reg BI.
November 16, 2020
Why Fidelity's New Advisor Platform Is a Big DealNo other firm offers anything quite like FMAX, but that will change quickly, industry watchers tell ThinkAdvisor.
November 16, 2020
$2B Morgan Stanley Team Jumps to LPLThey will align with the hybrid RIA Gladstone Wealth Partners.
November 16, 2020
Fidelity Rolls Out Comprehensive Wealth Platform for AdvisorsThe Fidelity Managed Account Xchange (FMAX) is available to RIAs, family offices and BDs.
November 13, 2020
Raymond James Launches Wealth-Focused Coaching ProgramThe news comes two months after the firm rolled out programs focused on Regulation Best Interest and its Black Financial Advisors Network.
November 11, 2020
Advisor Group Rolling Out Fee Cuts, Other ChangesTo boost recruiting and other growth, the firm is ending transaction fees for new accounts on Jan. 1 and ticket charges in mid-2021.
November 11, 2020
Advisors Highlight Best Practices of 2020 at Virtual EventWith some 1,500 registrants, the 26th annual Raymond James Women's Symposium brought advisors and experts together to discuss resiliency and inspire success at a challenging time.
November 10, 2020
Cetera Nabs Former LPL Exec as COOIndustry veteran Tom Gooley joins the firm, which just promoted Lisa Gok to the role of general counsel.