Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Sets Sights on Registered Index-Linked Annuities
By Melanie WaddellThese annuities have seen a significant jump this year, said FINRA CEO Cook.
November 03, 2020
Advisor Group Nabs $975M TeamPacific Capital Resource Group, a super OSJ with 40 advisors, has joined Advisor Group's Royal Alliance Associates.
November 02, 2020
Commonwealth to Target Wirehouse Advisors in New Recruiting PushAfter a "rollercoaster year" for recruiting, the firm is preparing for a wave of wirehouse breakaways, Commonwealth exec Andrew Daniels tells ThinkAdvisor.
November 02, 2020
SEC Enforcement Actions Down 17% in 2020But financial remedies ordered set a new high, according to the agency's enforcement chief.
November 02, 2020
LPL Grabs TD Ameritrade Exec to Lead TradingBen Welch comes on board less than a month after Charles Schwab wrapped up its $22 billion purchase of the former rival.
November 02, 2020
Kestra Adds $2.2B in Assets Through Recruiting in Q3Of the 22 advisors who joined, eight came from Merrill, Morgan Stanley and Wells Fargo; two are women.
October 30, 2020
Should Compliance Officers Be Held Personally Liable? SEC's Peirce Weighs InToo much liability could discourage talented people from working in compliance, the SEC commissioner says.
October 29, 2020
13 Best & Worst Broker-Dealers: Q3 Earnings, 2020Though the pandemic continues to impact the financial results of BDs, COVID-19's negative influence wasn't as serious as in the prior period.