Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
JPMorgan to Buy Maker of Tax-Efficient Portfolio Tools
By Jeff BermanNews of the 55ip deal comes nine days after BlackRock moved to buy Aperio, a personalized indexer and SMA shop, for $1 billion.
November 30, 2020
New Advisor Designation Drawing CriticismMichael Kitces questions whether clients would really seek out an Accredited Behavioral Finance Professional.
November 25, 2020
How to Convince Clients That Downturns Are OpportunitiesWhen markets turn volatile, it's "natural" for investors to get nervous, but research shows advisors can help them adjust in beneficial ways.
November 25, 2020
Ex-LPL Rep to Spend 3.5 Years in Jail for Ponzi SchemeJames Thomas Booth led "years-long scheme to defraud" clients of almost $5 million, said Acting U.S. Attorney Audrey Strauss.
November 25, 2020
Cambridge Partners With AdvicePay: Tech RoundupAlso, FSP teams with Chalice Network to create FinTech Institute, and Wells Fargo invests in a donor-advised fund program.
November 24, 2020
Appeals Court Disregards FINRA Rule in CCO CaseDecision raises questions about how FINRA will charge firms and compliance officers for "should have known" violations, Eversheds' attorneys say.
November 24, 2020
Why a Silicon Valley Advisor Became an RIAThere's a big difference between broker-dealer and RIA expenses, as one advisor with $100 million in assets and UHNW clients discovered.
November 23, 2020
LPL Nabs $1B Securities America TeamThe news comes one week after SagePoint, another Advisor Group broker-dealer, recruited a $503 million group from LPL Financial.