Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How COVID-19 Is Hurting Workers' Retirement Prospects
By Michael S. FischerDue to the pandemic, 33% of workers have taken a loan and/or withdrawal from qualified retirement accounts, or plan to do so, a new poll finds.
December 18, 2020
Cetera Hit With $1M Fine Tied to Dually Registered RepsFINRA says supervisory systems and processes were lacking for the reps, who managed over $80 billion in client assets.
December 17, 2020
Top News That Shook Up the Advisory Industry in 2020A look back at the year's biggest deals and VIP developments affecting firms that serve financial advisors.
December 17, 2020
Raymond James to Buy Boutique Investment BankThe firm seeks to capitalize on "significant shifts" taking place in the consumer and retail industries, says its investment banking chief.
December 16, 2020
David Blanchett's 6 Predictions for Retirement Planning in 2021After a doozy of a year, here's what a "new normal" might look like on the retirement income front.
December 14, 2020
Indie BDs Are the Next Growth Channel for Annuities: CerulliRegistered index-linked annuities are expected to be the breakout annuity product over the next five years, the research group finds.
December 14, 2020
Cetera Adds $122M PracticePierson Wealth Management, led by Ivy Pierson, specializes in developing and implementing retirement and estate plans for private clients.
December 11, 2020
How Did Advisor Portfolios Perform After COVID-19 Hit? Very Well, Says InvescoThe firm's study of several hundred portfolios found that many advisors shifted allocations to investments that outperformed.